“真正的杰作——毫无疑问是 Mithen 迄今为止最好的书”
‘A genuine tour de force – unquestionably Mithen’s best book to date’
英国考古学
British Archaeology
“在他非凡的著作中，史蒂文·米森 （Steven Mithen） 使用了来自语言学、古人类学、 考古学、心理学和神经科学提出了一种关于语言和音乐起源的新的、有争议的理论”
‘In his extraordinary book, Steven Mithen uses anecdotes and a panoply of forensic evidence from linguistics, paleoanthropology, archaeology, psychology and neuroscience to present a new and controversial theory of the origins of language and music’
阿德里安·沃尔夫森，星期日电讯报
Adrian Wolfson, Sunday Telegraph
“与史蒂文·米森 （Steven Mithen） 之前的书名《心灵史前史》（The Prehistory of the Mind） 和《冰之后》（After the Ice）一样值得称赞......这是一本迷人的书，有足够的文档来满足愤世嫉俗的语言学家......最新的原创调查 考古学的主要作家之一的人类起源
‘As praiseworthy as Steven Mithen’s previous titles, The Prehistory of the Mind and After the Ice … This is a beguiling book with enough documentation to satisfy the cynical linguist … an up-to-date and original survey of human origins from one of archaeology’s leading writers’
迈克·皮茨，《星期日泰晤士报》
Mike Pitts, Sunday Times
“米森对音乐、语言和哑剧的起源进行了丰富而冷静的研究，这可以追溯到灵长类动物的音乐创作 理解音乐在人类思想中可能扮演什么角色的基础”
‘Mithen’s rich, dispassionate study of the origins of music, language and mime goes back to music-making among primates as the basis for understanding what role music might play in the human mind’
诺曼·勒布雷希特，《旗帜晚报》
Norman Lebrecht, Evening Standard
“这本书写得非常好，Mithen 清晰而富有感染力的热情将使它成为非专业人士的一个很好的介绍。 对这个话题感兴趣。我可以向任何对音乐的生物学和进化感兴趣的人推荐它。
‘The book is extremely well-written and Mithen’s clear and infectious enthusiasm will make it a good introduction for non-specialists interested in the topic. I can recommend it to anyone interested in the biology and evolution of music’
Tecumseh Fitch，自然
Tecumseh Fitch, Nature
“从对音乐和音乐能力的详细分析开始，借鉴音乐学、心理学和神经生物学来构建 一幅全面而博学的画面，展示了音乐打动我们的能力......一本姗姗来迟的书，它探讨了人类进化 从一个有趣而有趣的角度”
‘Begins with a detailed analysis of music and musical ability, drawing on musicology, psychology and neurobiology to build a comprehensive and erudite picture of music’s capacity to move us … a long overdue book, which approaches human evolution from an intriguing as well as entertaining angle’
R. I. M. Dunbar，TLS
R. I. M. Dunbar, TLS
“一种乐趣，充满了最新的研究和有趣的新建议和想法”
‘A joy, packed with the latest research and intriguing new suggestions and ideas’
Richard Wentk，焦点
Richard Wentk, Focus
内容
Contents
The Need for an Evolutionary History of Music
The Similarities and Differences Between Music and Language
The Brain, Aphasia and Musical Savants
Acquired and Congenital Amusia
5 The Modularity of Music and Language
Music Processing within the Brain
Brain Maturation, Language Learning and Perfect Pitch
7 Music Hath Charms and can Heal
Music, Emotion, Medicine and Intelligence
Communication by Monkeys and Apes
The Origin of 'Hmmmrn' Communication
The Evolution of Bipedalism and Dance
Communication about the Natural World
Is Music a Product of Sexual Selection?
Human Life History and Emotional Development
The Significance of Cooperation and Social Bonding
'嗯嗯'交流 来自 Homo necanderthalensis
‘Hmmmmm’ Communication by Homo Necanderthalensis
The Origin of Homo Sapiens and the Segmentation of ‘Hmmmmm’
17 A Mystery Explained, but not Diminished
Modern Human Dispersal, Communicating with the Gods and the Remnants of ‘Hmmmmmm’
前言
Preface
制作音乐的倾向是人类最神秘、最美妙和被忽视的特征。我开始写这本书 描述我的理论，即为什么我们应该如此被迫制作和聆听音乐。我想把事情放在一起解释 最近从包括考古学、人类学、 心理学、神经科学，当然还有音乐学。直到我开始之后，我才开始意识到事实并非如此 我所说的不仅是音乐，还有语言：没有另一个是不可能解释的。随着工作的进行， 我还意识到，如果不彻底嵌入 人体和心灵。因此，结果必然是一项雄心勃勃的工作，但我希望学术界会对此感兴趣 在广泛的领域，普通读者都可以阅读——事实上，任何对人类状况感兴趣的人都可以阅读。 音乐是其中不可磨灭的一部分。
The propensity to make music is the most mysterious, wonderful and neglected feature of humankind. I began writing this book to describe my theory as to why we should be so compelled to make and listen to music. I wished to draw together and explain the connections between the evidence that has recently emerged from a variety of disciplines including archaeology, anthropology, psychology, neuroscience and, of course, musicology. It was only after I had begun that I came to appreciate that it was not only music I was addressing but also language: it is impossible to explain one without the other. As the work progressed, I also realized that their evolution could not be accounted for without being thoroughly embedded in the evolution of the human body and mind. And so the result is necessarily an ambitious work, but one that I hope will be of interest to academics in a wide range of fields and accessible to general readers – indeed, to anyone who has an interest in the human condition, of which music is an indelible part.
当我向家人提到我打算写一本关于音乐的书时，大家沉默了一会儿，然后是笑声。 虽然我经常听音乐，但我既不能唱歌，也不能有节奏地拍手。我不会演奏任何乐器。 苏，我的妻子，唱歌;她和我的三个孩子会弹钢琴。我最小的女儿 Heather 也会拉小提琴。这令人难过 我永远无法与他们中的任何一个人一起进行钢琴二重奏或为他们伴奏歌曲。我尝试了后者和 对于所有参与者来说，这是一次非常不愉快的经历。
When I mentioned to my family that I intended to write a book about music there was a moment’s silence and then laughter. Although I frequently listen to music, I can neither sing in tune nor clap in rhythm. I am unable to play any musical instrument. Sue, my wife, sings; she and my three children play the piano. Heather, my youngest daughter, also plays the violin. It saddens me that I will never be able to join one of them in a piano duet or accompany them with a song. I’ve tried the latter and it is a deeply unpleasant experience for all involved.
写这本书是为了弥补我的音乐局限性。当我的孩子们英勇地挣扎时 在一个房间里练习钢琴，我会在另一个房间里练习音乐理论。这是我们最接近的一次 永远有机会一起制作音乐。如果他们没有那么努力，我也不会，这本书永远不会写出来。 所以我非常感谢他们的努力;我为他们的音乐成就感到既自豪又羡慕。
Writing this book has been an attempt to compensate for my musical limitations. When my children were valiantly struggling with piano practice in one room, I would be doing the same with the theory of music in another. It’s been the closest we will ever get to making music together. If they hadn’t worked so hard, neither would I, and this book would never have been written. So I am most grateful for their efforts; I am both proud and envious of their musical achievements.
我在雷丁大学的同事 Nicholas Bannan 帮助激发了我对音乐方式的长期但潜在的兴趣 通过他对这个话题的富有感染力的热情和他自发的歌唱示范而发展。
Nicholas Bannan, my University of Reading colleague, helped to stimulate my longstanding but latent interest in how music evolved by his infectious enthusiasm for this topic and his spontaneous singing demonstrations.
我通过指导相关主题的学生论文开始了我的研究，尤其是 Iain Morley 和 Hannah 的论文 执事。这些进一步激发了我的兴趣，我沉浸在相关文献中。令我非常高兴的是，我 发现我可以证明长时间听音乐，同时消化我所读到的内容并思考它是什么 可能意味着。
I began my research vicariously by supervising student dissertations on relevant subjects, notably by Iain Morley and Hannah Deacon. These further excited my interest and I immersed myself in the relevant literature. To my immense pleasure, I then found that I could justify long hours simply listening to music while digesting what I had read and thinking about what it might mean.
在我的研究过程中，我从许多朋友、同事和“学者”的帮助和建议中受益匪浅 熟人。我最大的学术感激是 Alison Wray。她的工作对我自己的思考影响最大。她 好心地评论了我的手稿初稿，并提供了她未发表的论文的副本。肯尼·史密斯 （Kenny Smith） 也好心 阅读并评论了整个手稿草稿，而 Jill Bowie、Dick Byrne、Anna Machin、Isabelle Peretz 和 Ilona Roth 对选定的章节执行相同的操作。我非常感谢他们的建议和支持。
During the course of my research I have benefited greatly from the help and advice of many friends, colleagues and” academic acquaintances. My greatest academic debt is to Alison Wray. Her work has been the most influential on my own thinking. She kindly commented on the first draft of my manuscript and provided copies of her unpublished papers. Kenny Smith also kindly read and commented on the whole draft manuscript, while Jill Bowie, Dick Byrne, Anna Machin, Isabelle Peretz and Ilona Roth did the same for selected chapters. I am most grateful for their advice and support.
我还要感谢 Brent Berlin、Margaret Clegg、Ian Cross、Valerie Curtis、Franceso D'Errico、Robin Dunbar、Christopher Henshilwood、Maggie Tallerman 和 Andy Whiten。他们向我推荐出版物，讨论想法，回答电子邮件查询，然后 为我提供了未发表的手稿副本。
I would also like to thank Brent Berlin, Margaret Clegg, Ian Cross, Valerie Curtis, Franceso D’Errico, Robin Dunbar, Christopher Henshilwood, Maggie Tallerman and Andy Whiten. They pointed me to publications, discussed ideas, answered email queries and provided me with copies of unpublished manuscripts.
尼古拉斯·班南 （Nicholas Bannan） 和我共同组织了在大学举行的“音乐、语言和人类进化”研讨会 2004 年 10 月的阅读，由欧洲科学基金会慷慨资助。这发生在我完成初稿之后 这本书的作者，它让我有机会与许多我引用过的学者会面和讨论，但他们 我以前从未见过。我非常感谢所有参与者，为我提供了这个最刺激的活动 完成本书的更多信息、想法和灵感：Margaret Clegg、Ian Cross、Pedro Espi-Sanchis、Tecumseh Fitch、 罗伯特·弗利、克莱夫·甘布尔、陈光海、比约恩·默克、莱恩·莫利、伊莎贝尔·佩雷茨、伊洛娜·罗斯、约翰·桑德伯格、伊丽莎白 托尔伯特和桑德拉·特雷哈布。
Nicholas Bannan and I co-organized the ‘Music, Language and Human Evolution’ workshop that took place at the University of Reading in October 2004, kindly funded by the European Science Foundation. This occurred after I had completed the first draft of this book and it gave me the opportunity to meet and discuss with many of the academics whose work I had cited but whom I had not previously met. I am most grateful to all the participants for that most stimulating event, which provided me with further information, ideas and inspiration to complete the book: Margaret Clegg, Ian Cross, Pedro Espi-Sanchis, Tecumseh Fitch, Robert Foley, Clive Gamble, Tran Quang Hai, Björn Merker, lain Morley, Isabelle Peretz, Ilona Roth, Johan Sundberg, Elizabeth Tolbert and Sandra Trehub.
虽然我从与上述所有人的讨论和辩论中受益匪浅，但任何错误或模糊的想法 毫无疑问，这本书中只有我一个人的责任。
While I have benefited enormously from discussion and debate with all of those mentioned above, any errors or fuzzy thinking within this book are unquestionably my responsibility alone.
在我的写作过程中，我很幸运地得到了 Chris Jones 的文书支持。她急切地查阅了书目 参考资料，进行互联网搜索和影印，并提供各种杂项帮助，使写作 这本书可能在会议和文书工作的空白中泛滥;今天有大学工作。我也感谢我在Weidenfeld & Nicolson的编辑Tom Wharton，他对我的草稿提供了大量的建议。 手稿，对这本书有很大的好处。
During the course of my writing I have been fortunate to have had clerical support from Chris Jones. She eagerly checked bibliographic references, undertook Internet searches and photocopying, and provided all manner of miscellaneous help that made writing this book possible in the gaps in the inundation of meetings and paperwork that; comes with university jobs today. I am also grateful to Tom Wharton, my editor at Weidenfeld & Nicolson, who provided considerable advice on my draft manuscript, to the book’s immense benefit.
我一生中最强烈的音乐体验是在 1983 年的一个冬夜，当时 Sue 带我去听了 Fauré 的安魂曲 在烛光下的约克大教堂。我花了过去 21 年研究人类进化论和最后一年写作 这本书是为了理解为什么我和许多其他人被我们那天晚上听到的音乐所感动和启发。那是第一个 我听过福雷的安魂曲。从那时起，Sue 就一直在向我介绍新的音乐，通常是通过 Reading Festival Chorus，她与该合唱团合唱。这确实改善了我的生活。因此，我怀着感激之情奉献 这本书对她来说。
The most intense musical experience of my life was on a winter’s evening in 1983 when Sue took me to hear Fauré’s Requiem in a candlelit York Minster. It has taken me the last twenty-one years of studying human evolution and the last year of writing this book to understand why I and so many others were moved and inspired by the music we heard that night. That was the first time I had heard Fauré’s Requiem. Ever since, Sue has been introducing me to new music, often through the concerts of the Reading Festival Chorus, with which she sings. This has truly enhanced my life. And so it is with my gratitude that I dedicate this book to her.
2004 年 12 月 31 日
31 December 2004
1 音乐的奥秘
1 The mystery of music
需要音乐的进化史
The need for an evolutionary history of music
据说舒伯特的 C 大调弦乐五重奏中的柔板是一首完美的音乐。1 我此时正在播放它，并且可能很容易同意。巴赫的大提琴组曲也可以获得这一赞誉，就像 迈尔斯·戴维斯 （Miles Davis） 的《一种蓝色》（A Kind of Blue）。至少，我是这么认为的。你的会有所不同。在这本书中，我并不关心 我们喜欢的特定音乐，但事实上我们根本不喜欢它——我们花费了大量的时间、精力和 经常是金钱来听它，许多人如此努力地练习来执行它，我们钦佩并经常崇拜那些 以专业知识、独创性和天赋来做到这一点。
It has been said that the adagio from Schubert’s String Quintet in C Major is a perfect piece of music.1 I have it playing at this very moment and might easily agree. Bach’s Cello Suites could also take that accolade, as could ‘A Kind of Blue’ by Miles Davis. That, at least, is my view. Yours will be different. In this book I am not concerned with the specific music that we like but with the fact that we like it at all – that we spend a great deal of time, effort and often money to listen to it, that many people practise so hard to perform it, and that we admire and often idolize those who do so with expertise, originality and flair.
这种解释必须比仅仅援引我们的成长经历和我们生活的社会更深刻，尽管这些 可能在很大程度上解释了我们特定的音乐品味。欣赏音乐是人类的普遍特征;音乐制作 在所有社会中都可以找到，每个人都以某种方式参与是正常的;现代西方是相当不寻常的 有大量不积极参与的人，甚至可能声称自己没有音乐感。而不是寻找 在社会学或历史因素中，我们只能通过认识到人类制作和听音乐的倾向 在我们物种的进化历史中，它已经被编码到人类基因组中。谜团是如何、何时以及为什么出现的 我打算解决。
The explanation has to be more profound than merely invoking our upbringing and the society in which we live, although these may largely account for our specific musical tastes. The appreciation of music is a universal feature of humankind; music-making is found in all societies and it is normal for everyone to participate in some manner; the modern-day West is quite unusual in having significant numbers of people who do not actively participate and may even claim to be unmusical. Rather than looking at sociological or historical factors, we can only explain the human propensity to make and listen to music by recognizing that it has been encoded into the human genome during the evolutionary history of our species. How, when and why are the mysteries that I intend to resolve.
虽然最近对人类思维的其他几个普遍属性进行了详细的研究和辩论，特别是我们的 语言和创造性思维的能力，音乐一直被严重忽视。因此，人类的一个基本方面 状况被忽视了，我们只获得了对人类意味着什么的部分理解。
While several other universal attributes of the human mind have recently been examined and debated at length, notably our capacities for language and creative thought, music has been sorely neglected. Accordingly, a fundamental aspect of the human condition has been ignored and we have gained no more than a partial understanding of what it means to be human.
与语言的对比是惊人的。作为 1866 年成立章程的一部分，Société de Linguistique de Paris 被禁止 所有关于语言起源的讨论。2 这一立场在学术界占据了主导地位一个多世纪，直到 二十世纪。语言学家、心理学家、哲学家、神经科学家、人类学家和考古学家现在经常出现 辩论语言的起源和进化历史，并发表了许多关于该主题的文章和书籍。3
The contrast with language is striking. As part of its founding statutes in 1866, the Société de Linguistique de Paris banned all discussions about the origin of language.2 This position held sway with academics for more than a century, before a surge of research began during the last decade of the twentieth century. Linguists, psychologists philosophers, neuroscientists, anthropologists and archaeologists now frequently debate the origin and evolutionary history of language, and have published many articles and books on the topic.3
尽管巴黎语言学会（Société de Linguistique de Paris）对研究音乐的起源没有发表任何意见，但学者们似乎认为 遵守了他们自己实施的禁令，这种禁令实际上一直持续到今天。当然，已经有 一些值得注意的例外，应该得到承认。其中一位是查尔斯·达尔文（Charles Darwin），他在1871年出版的《人类的起源》（The Descent of Man）一书中用了几页的篇幅来论述音乐的进化。最近，著名的民族音乐学家约翰·布莱金 （John Blacking） 在 1973 年出版的《人的音乐性如何》一书中提出了音乐是人类固有的普遍品质的观点。4
Even though the Société de Linguistique de Paris had nothing to say about studying the origin of music, academics appear to have observed their own, self-imposed ban, which has effectively continued up to the present day. There have, of course, been some notable exceptions which should be acknowledged. One was Charles Darwin, who devoted a few pages in his 1871 book, The Descent of Man, to the evolution of music. More recently, there was the renowned ethnomusicologist John Blacking whose 1973 book, How Musical Is Man?, broached the idea that music is an inherent and universal human quality.4
不仅音乐的起源和语言的起源一样值得关注，而且我们不应该只看其中之一。 事实上，尽管最近有活动，但在理解语言的演变方面只取得了有限的进展。这 部分是由于忽视了考古学和化石证据，部分是由于忽视了音乐。那些作家 显然惹恼了巴黎语言学会的人意识到音乐和语言之间存在着进化的关系。 让-雅克·卢梭 （Jean-Jacques Rousseau） 的 Essai sur l'origine des langues （1781） 是对音乐和语言的反思。5 一个多世纪后，19 世纪和 20 世纪最伟大的语言学者之一奥托·杰斯佩森 （Otto Jespersen） 说： 他在 1895 年出版的《语言进步》一书中总结道：“语言......从对个体存在和事件的半音乐、未经分析的表达开始”。6 这样的见解似乎已经被遗忘了，因为在最近的出版物激增中，音乐几乎没有被提及 关于语言的起源。7
Not only does the origin of music deserve as much attention as that of language, but we should not treat one without the other. Indeed, in spite of the recent activity, only limited progress has been made in understanding the evolution of language. This can be explained partly by neglect of the archaeological and fossil evidence, and partly by the neglect of music. Those writers who had evidently annoyed the Société de Linguistique de Paris were aware that music and language have an evolutionary relationship. Jean-Jacques Rousseau’s Essai sur l’origine des langues (1781) was a reflection on both music and language.5 More than a century later, Otto Jespersen, one of the greatest language scholars of the nineteenth and twentieth centuries, concluded his 1895 book, Progress in Language, by stating that ‘language … began with half-musical unanalysed expressions for individual beings and events’.6 Such insights appear to have been forgotten, for music has hardly received any mention at all in the recent surge of publications concerning the origin of language.7
这可能仅仅是因为音乐更难解决。而语言具有不言而喻的功能 – 传播 的信息8-并且可以很容易地被接受为进化的产物，即使它的具体进化历史仍然不清楚，什么是 音乐的意义是什么？9
This might be simply because music is so much harder to address. Whereas language has a self-evident function – the transmission of information8-and can be readily accepted as a product of evolution even if its specific evolutionary history remains unclear, what is the point of music?9
这个问题将我们引向另一个被忽视的领域：情感。如果音乐是关于任何东西的，那么它是关于表达和诱导的 情感。但是，尽管考古学家付出了巨大的努力来研究我们祖先的智力能力， 他们的情感生活和他们的音乐一样被忽视。这也限制了我们对容量 因为语言进化了。
That question leads us to a further neglected area: emotion. If music is about anything, it is about expressing and inducing emotion. But while archaeologists have put significant effort into examining the intellectual capacities of our ancestors, their emotional lives have remained as neglected as their music. This, too, has constrained our understanding of how the capacity for language evolved.
原始语言的两种观点
Two views of proto-language
语言是一个特别复杂的交流系统。它必须在现代人的祖先和亲戚使用的一系列越来越复杂的通信系统中逐渐进化 人类。10 学者们用“原始语言”这个包罗万象的术语来指代这些通信系统。确定 的正确性质 原始语言是任何试图理解语言如何演变的人面临的最重要的任务。
Language is a particularly complex system of communication. It has to have evolved gradually in a succession of ever more complex communication systems used by the ancestors and relatives of modern humans.10 Academics refer to these communication systems by the catch-all term ‘proto-language’. Identifying the correct nature of proto-language is the most important task facing anyone attempting to understand how language evolved.
因为定义语言的本质是一项极具挑战性的任务——我将在下一章中讨论——它会 学者们对原始语言的性质存在强烈分歧也就不足为奇了。他们的理论分为两个阵营： 那些认为原始语言在性质上是“组合性”的，而那些认为它是“整体性”的。11
Because defining the nature of language is such a challenging task – one that I will address in the next chapter – it will come as no surprise that academics vehemently disagree about the nature of proto-language. Their theories fall into two camps: those who believe that proto-language was ‘compositional’ in character, and those who believe it was ‘holistic’.11
组合理论的本质是原始语言由单词组成，语法有限（如果有的话）。冠军 这种观点的作者是德里克·比克顿 （Derek Bickerton），他是一位语言学家，对关于语言如何进化的辩论产生了深远的影响 过去十年的一系列书籍和文章。12
The essence of the compositional theories is that proto-language consisted of words, with limited, if any, grammar. The champion of this view is Derek Bickerton, a linguist who has had a profound influence on the debates about how language evolved with a succession of books and articles over the past decade.12
根据比克顿的说法，人类祖先和尼安德特人等亲戚可能有一个相对较大的词典 词语，每个词语都与一个心理概念有关，例如 '肉'、'火'、'狩猎' 等。他们能够将这样的 词放在一起，但只能以一种近乎任意的方式做到这一点。Bickerton 认识到这可能会导致一些歧义。 例如，“man killed bear”的意思是一个人杀死了一只熊，或者 abear 杀死了一个人？雷·杰克杜夫， 一位写过音乐和语言的认知科学家建议，诸如“代理优先”（即 是，这个人杀死了熊）可能会减少潜在的歧义。13 尽管如此，潜在话语的数量和复杂性将受到严重限制。此类的转变 原始语言到语言需要语法的演变——定义有限数量单词的顺序的规则 可以串在一起以创建无限数量的话语，每个话语都有特定的含义。
According to Bickerton, human ancestors and relatives such as the Neanderthals may have had a relatively large lexicon of words, each of which related to a mental concept such as ‘meat’, ‘fire’, ‘hunt’ and so forth. They were able to string such words together but could do so only in a near-arbitrary fashion. Bickerton recognizes that this could result in some ambiguity. For instance, would ‘man killed bear’ have meant that a man has killed abear or that abear has killed a man? Ray Jackendoff, a cognitive scientist who has written about both music and language, suggests that simple rules such as ‘agent-first’ (that is, the man killed the bear) might have reduced the potential ambiguity.13 Nevertheless, the number and complexity of potential utterances would have been severely limited. The transformation of such proto-language into language required the evolution of grammar – rules that define the order in which a finite number of words can be strung together to create an infinite number of utterances, each with a specific meaning.
原始语言的构成理论在过去十年中主导了语言进化的研究;他们一直 影响很大，但我相信，它把我们引向了理解语言进化最早阶段的错误方向。 最近出现了属于“整体”理论类别的替代观点。他们的冠军是一匹不太知名的 我相信，这位语言学家已经确定了原始语言的真正本质。她叫 Alison Wray，是 卡迪夫大学。14 她使用“整体”一词，是指语言的前身是由“信息”组成的通信系统 而不是文字;每个原始人的话语都与一个任意的含义唯一相关——现代语言的词语也是如此 事实上，那些属于比克顿原始语言的。但在雷的原始语言中，原始人的多音节话语并不是由可以组合的较小意义单位（即单词）组成的 要么以任意的方式聚集在一起，要么通过使用规则来产生涌现的意义。在她看来，只有现代语言 当整体话语被“分割”以产生单词时，这些单词可以组合在一起以创建语句 具有新颖的含义。因此，虽然 Bickerton 认为单词存在于语言进化的早期阶段，但 Wray 相信他们只是在它的后期才出现。
Compositional theories of proto-language have dominated studies of language evolution for the past decade; they have been highly influential but have, I believe, led us in the wrong direction for understanding the earliest stages of language evolution. Alternative views have recently emerged that fall into the category of ‘holistic’ theories. Their champion is a less well-known linguist who has, I believe, identified the true nature of proto-language. Her name is Alison Wray and she is a linguist at the University of Cardiff.14 By using the term ‘holistic’, she means that the precursor to language was a communication system composed of ‘messages’ rather than words; each hominid utterance was uniquely associated with an arbitrary meaning – as are the words of modern language and, indeed, those of a Bickertonian proto-language. But in Wray’s proto-language, hominid multisyllabic utterances were not composed out of smaller units of meaning (that is to say, words) which could be combined together either in an arbitrary fashion or by using rules to produce emergent meanings. In her view, modern language only evolved when holistic utterances were ‘segmented’ to produce words which could then be composed together to create statements with novel meanings. Hence, while Bickerton believes that words were present in the early stages of language evolution, Wray believes that they only appeared during its later stages.
疏忽及解雇
Neglect and dismissal
虽然人们对原始语言的性质给予了相当大的关注，但它的音乐对应物实际上被忽视了。 尤其是古人类学家，他们解释了人类祖先的骨骼和人工遗骸。我自己也有罪， 在我 1996 年的书《心灵的史前史》中没有考虑音乐。这为人类思维提出了一个进化情景，涉及从“特定领域”到“认知”的转变 fluid“的心态，后者被归因于智人。认知流动性是指来自不同心理模块的知识和思维方式的组合，其中 启用隐喻并产生创造性的想象力。它为科学、宗教和艺术提供了基础。尽管《心灵史前史》承认语言是认知流动性的载体，但它对语言的实际演变关注不足 并且没有令人满意地解决前现代人类（如尼安德特人）如何在其 假设缺席。
While considerable attention has been paid to the nature of proto-language, its musical counterpart has been virtually ignored, especially by palaeo-anthropologists, who interpret the skeletal and artefactual remains of human ancestors. I am guilty myself, having failed to consider music in my 1996 book, The Prehistory of the Mind. That proposed an evolutionary scenario for the human mind involving the switch from a ‘domain-specific’ to a ‘cognitively fluid’ mentality, the latter being attributed to Homo sapiens alone. Cognitive fluidity refers to the combination of knowledge and ways of thinking from different mental modules, which enables the use of metaphor and produces creative imagination. It provides the basis for science, religion and art. Although The Prehistory of the Mind recognized language as a vehicle for cognitive fluidity, it paid insufficient attention to the actual evolution of language and did not satisfactorily address the thorny issue of how pre-modern humans, such as the Neanderthals, communicated in its assumed absence.
在写我最近的书《冰之后》时，我敏锐地意识到自己对音乐的忽视。这项工作包括许多史前狩猎采集和早期农业社区的重建方案，这些社区 存在于公元前 20， 000 年至公元前 5000 年之间。在我想象音乐之前，这些对我来说很少是真实的：人们在执行一些平凡的任务时自言自语， 在庆祝和哀悼的时候，人们集体唱歌跳舞，母亲们为婴儿哼唱，孩子们演奏音乐剧 游戏。《冰雪之后》中研究的群落都是相对较新的，但早期的智人、尼安德特人，甚至更古老的祖先物种，如海德堡人（Homo heidelbergensis）和厄加斯特人（Homo ergaster）也是如此。没有音乐，史前的过去太安静了，令人难以置信。
I became acutely aware of my own neglect of music when writing my most recent book, After the Ice. That work included reconstruction scenarios for many of the prehistoric hunter-gatherer and early farming communities that existed between 20, 000 and 5000 BCE. Few of these felt realistic to me until I imagined music: people singing to themselves as they undertook some mundane task, communal singing and dancing at times of celebration and mourning, mothers humming to their babies, children playing musical games. The communities examined in After the Ice were all relatively recent, but the same is true of early Homo sapiens, the Neanderthals, and even older ancestral species such as Homo heidelbergensis and Homo ergaster. Without music, the prehistoric past is just too quiet to be believed.
当音乐没有被忽视时，它就被解释为只不过是人类语言能力的衍生产品。15 语言学家和达尔文主义者史蒂文·平克（Steven Pinker）在他1997年出版的雄心勃勃、在许多方面都相当出色的著作《心灵如何运作》（How the Mind Works）中，用了660页的篇幅中的11页来介绍音乐。事实上，他不屑于认为音乐 在任何方面都是人类心态的核心。对平克来说，音乐是从其他进化的倾向衍生而来的，而人类只是发明了这种倾向 娱乐 “就生物因果而言，音乐是无用的......音乐与语言完全不同 …它是一种技术，而不是一种适应。16
When music has not been ignored, it has been explained away as no more than a spin-off from the human capacity for language.15 In his ambitious and in many ways quite brilliant 1997 book, How the Mind Works, the linguist and Darwinist Steven Pinker devoted eleven of his 660 pages to music. In fact, he dismissed the idea that music was in any way central to human mentality. For Pinker, music is derivative from other evolved propensities, something that humans have invented merely as entertainment ‘As far as biological cause and effect are concerned, music is useless … music is quite different from language … it is a technology, not an adaptation.’16
对于那些将学术生活献身于音乐研究的人来说，平克将其视为听觉芝士蛋糕 而“发出叮叮当当的声音”17 必然会引起不安。最有说服力的回答来自剑桥的音乐学家伊恩·克洛斯（Ian Cross）。坦白 作为捍卫音乐作为人类活动价值的个人动机，他声称音乐不仅根深蒂固 在人类生物学中，但对儿童的认知发展也至关重要。18
For those who devote their academic lives to the study of music, its dismissal by Pinker as nothing more than auditory cheesecake and ‘the making of plinking noises’17 was bound to raise hackles. The most eloquent response came from the Cambridge-based musicologist Ian Cross. Confessing to a personal motivation in defending the value of music as a human activity, he claimed that music is not only deeply rooted in human biology but also critical to the cognitive development of the child.18
伊恩·克洛斯 （Ian Cross） 是为数不多的开始研究音乐能力演变的学者之一——这一发展已经 开始于 Pinker 撰写他的解雇信时。19 约翰·霍普金斯大学皮博迪音乐学院的伊丽莎白·托尔伯特 （Elizabeth Tolbert） 也对平克的提议做出了反应。她强调 音乐与象征主义和身体运动的关系，表明它必须与语言共同进化。20 雷丁大学（Reading University）音乐教育专家尼古拉斯·班南（Nicholas Bannan）认为，“唱歌的本能”同样强大 作为平克倡导的“说话的本能”。21 利物浦大学杰出的进化心理学家罗宾·邓巴 （Robin Dunbar） 在他 2004 年出版的《人类故事》一书中提出，语言会通过 在其演变过程中的音乐阶段。22
Ian Cross is one of a few academics who have begun to address the evolution of musical abilities – a development that had begun while Pinker was writing his dismissal.19 Elizabeth Tolbert of the Peabody Conservatory at Johns Hopkins University also reacted against Pinker’s proposal. She stressed the relationship of music to symbolism and bodily movement, proposing that it must have coevolved with language.20 Nicholas Bannan, a specialist in music education at Reading University, argued that the ‘instinct to sing’ is just as powerful as the ‘instinct to speak’ championed by Pinker.21 In his 2004 book, The Human Story, Robin Dunbar, the distinguished evolutionary psychologist from Liverpool University, proposed that language went through a musical phase during the course of its evolution.22
所有这些学者，包括我自己，不仅在让-雅克·鲁梭（Jean-Jacques Rousseau）和奥托·杰斯佩森（Otto Jespersen）之后写作，而且 还有约翰·布莱金。在他写于《人如何具有音乐性》十年后的最后一篇文章中，他提出存在一种“非语言的、前语言的、'音乐性的'思维和行动模式”。23 我希望在本书中探讨并最终证明这个提议。
All of these academics, as well as myself, are writing in the wake of not only Jean-Jacques Rousseau and Otto Jespersen but also John Blacking. In one of his last essays, written ten years after How Musical Is Man?, he proposed there had been a ‘nonverbal, prelinguistic, “musical” mode of thought and action’.23 It is that proposal that I wish to explore and ultimately to vindicate in this book.
本书
This book
我为自己以前对音乐的忽视感到尴尬，被 Alison Wray 的整体原始语言理论说服，雄心勃勃 了解我们的史前祖先是如何交流的，并确信音乐的进化也必须掌握关键 到语言。这本书阐述了我自己对音乐和语言如何演变的看法，并通过以下方式评估了其他人的建议 让他们接触到考古学和化石证据。
I am embarrassed by my own previous neglect of music, persuaded by Alison Wray’s theory of a holistic proto-language, ambitious to understand how our prehistoric ancestors communicated, and convinced that the evolution of music must also hold the key to language. This book sets out my own ideas about how music and language evolved, and evaluates the proposals of others by exposing them to the archaeological and fossil evidence.
这本书分为两部分。第一章，第2章到第7章，是关于今天的音乐和语言。它描述了字符 音乐和语言，以及我们对它们关系的理解，涵盖了我打算解释的那些特征 本书第二部分第 8-17 章中提供的进化历史术语。
The book is in two parts. The first, chapters 2–7, is concerned with music and language today. It describes the character of music and language, and what we understand about their relationship, covering those features that I intend to explain in terms of the evolutionary history provided in the book’s second part, chapters 8–17.
我首先考虑音乐和语言之间的异同（第 2 章），然后关注三个主题： 音乐和语言在大脑中是如何构成的（第 3-5 章），我们如何与语言前婴儿交流（第 3-5 章） 6） 以及音乐与情感之间的关系（第 7 章）。
I begin by considering the similarities and differences between music and language (chapter 2), and then focus on three topics: how music and language are constituted in the brain (chapters 3–5), how we communicate with prelinguistic infants (chapter 6), and the relationship between music and emotion (chapter 7).
这些主题都需要进化的解释，并可能为音乐的起源提供一些线索。 语言。当然，音乐和语言的许多其他方面也需要解释，最明显的是多样性 以及当今世界语言和音乐风格的分布。这些问题没有得到解决，因为他们的解释是谎言 主要是在人类社会的历史发展和人口扩散方面，这些发展发生在 普遍共享的语言和音乐能力已经发展起来。24
These are the topics that both require an evolutionary explanation and may provide some clues to the origins of music and language. There are, of course, many other aspects of music and language that also require explanation, most notably the diversity and distribution of languages and musical styles in the world today. These are not addressed, because their explanations lie principally in the historical development of human societies and dispersals of populations that took place long after the universally shared capacities for language and music had evolved.24
在确定了需要解释的内容之后，第二部分首先停留在当下，但要解决沟通问题 猴子和猿类的系统（第 8 章）。我相信，这些是;与我们早期祖先的祖先相似，我们自己的 音乐和语言的能力发生了变化。我不考虑其他动物的交流系统，即使这些 通常被描述为具有音乐甚至语言品质，尤其是在鸟类和鲸鱼的情况下。确实有， 这些音乐与人类音乐之间有着惊人的相似之处。25 然而，由于人类、鸟类和鲸鱼之间的进化距离，这种相似性必然是通过趋同产生的 进化论 – 也就是说，自然选择为类似的问题提出了类似的解决方案，特别是对 领土和伴侣的吸引力。我关心的是语言和音乐在 人类血统和我没有空间去探索这种趋同的进化。
Having established what requires explanation, Part Two begins by remaining in the present but addressing the communication systems of monkeys and apes (chapter 8). These are, I believe, ; similar to those of our early ancestors, from which our own capacities for music and language evolved. I do not consider the communication systems of other animals, even though these are often described as having musical or even linguistic qualities, notably in the cases of birds and whales. There are, indeed, striking similarities between these and human music.25 However, owing to the evolutionary distance between humans, bird and whales, such similarities must have arisen by convergent evolution – that is to sky, natural selection coming up with similar solutions to similar problems, notably the defence of territory and the attraction of mates. My concern is with the specific evolutionary history of language and music within the human lineage and I have no room to explore such convergent evolution.
在第 9 章中，我通过考虑我们的早期原始人祖先来开始进化历史，这些祖先在 6 和 200 万年前。第 10-14 章研究了早期人类的进化和社会，包括 Homo ergaster、Homo erectus 和 Homo heidelbergensis 等物种，探讨了两足行走、狩猎和采集、社会关系、生活等交流进化的重要性 历史与合作。每一章都提供了一些关键的古人类学证据，并介绍了进一步的材料 灵长类动物研究、心理学和语言学等学科。第 15 章考虑了生活方式和通信系统 尼安德特人;第 16 章和第 17 章分别研究了语言和音乐起源的最后步骤，确定了 这些与 200， 000 年前不久后智人在非洲的出现。
In chapter 9, I begin that evolutionary history by considering our early hominid ancestors, which evolved in Africa between 6 and 2 million years ago. Chapters 10–14 examine the evolution and societies of Early Humans, species such as Homo ergaster, Homo erectus and Homo heidelbergensis, addressing the significance for the evolution of communication of bipedalism, hunting and gathering, social relations, life history and cooperation. Each chapter provides some key palaeoanthropological evidence and introduces further material from disciplines such as primate studies, psychology and linguistics. Chapter 15 considers the lifestyles and communication systems of the Neanderthals; chapters 16 and 17 examine the final steps in the origins of language and music respectively, identifying these with the appearance of Homo sapiens in Africa soon after 200, 000 years ago.
图 1原始人系统发育，指文中提到的物种。
Figure 1 Hominid phylogeny, referring to the species mentioned in the text.
在最后几章中，我回到了第一部分中描述的当今语言和音乐的特征，以及 说明我提出的进化史是如何解释这些的。结果不仅是对音乐的完整描述 和语言进化，以及它们与人类思想、身体和社会的进化之间的关系。它将解释原因 我们喜欢音乐，无论一个人的口味是巴赫、蓝调还是布兰妮。
In these concluding chapters I return to the present-day characteristics of language and music as described in Part One and show how these are explained by the evolutionary history I propose. The result is a complete account not only of how music and language evolved but also of how they relate to the evolution of the human mind, body and society. It will explain why we enjoy music, whether one’s taste is for Bach, the blues or Britney.
2 不仅仅是芝士蛋糕？
2 More than cheesecake?
音乐
和语言的异同
The similarities and differences between music
and language
音乐是否就像平克希望我们相信的那样，只不过是听觉上的芝士蛋糕吗？它仅仅是从语言进化而来的吗 – 人类的幸运休息，提供歌舞以缓解生存和繁衍的乏味？或者这是 认为自己只是对音乐具有适应性并且像语言一样深深植根于我们的生物学的相反主张的下意识反应？ 这两种观点中的任何一种都可以证明吗？语言和音乐是如何以及为什么相关的？的起点 要回答这些问题，就要仔细考虑它们的相似之处和不同之处。
Is music no more than auditory cheesecake, as Pinker would have us believe? Is it simply an evolutionary spin-off from language – a lucky break for humankind, providing song and dance as a relief from the tedium of survival and reproduction? Or is this view itself simply a knee-jerk reaction to contrary claims that music is adaptive and as deeply rooted in our biology as language? Can either of these views be justified? How and why, if at all, are language and music related? The starting point for an answer to such questions is a careful consideration of their similarities and differences.
问题不仅在于语言和音乐的明显性质，还在于它们在多大程度上依赖于相同的计算 大脑中的过程。1 我们最终关心的是进化的物理和心理倾向，这些倾向为语言提供了能力 以及我们物种中的音乐，即 Homo sapiens。在处理这种能力时，必须对那些倾听的人和那些生产的人给予同样多的关注。阿拉伯数字
The issue is not simply the manifest nature of language and music, but the extent to which they rely on the same computational processes in the brain.1 Our ultimate concern is with the evolved physical and psychological propensities that provide the capacities for language and music in our species, Homo sapiens. When dealing with such capacities, as much attention must be given to those for listening as to those for producing.2
我将以一些无可争议的相似之处开始本章，然后讨论语言的三个关键特征 – 符号、语法和信息传输 – 也存在于音乐中。
I will begin this chapter with some uncontentious similarities, before addressing whether the three key features of language – symbols, grammar, and information transmission – are also found in music.
有问题的定义
Problematic definitions
杰出的民族音乐学家布鲁诺·内特尔 （Bruno Nettl） 将音乐定义为“语言范围之外的人类声音交流”。3 这也许是我们能得到的最好的定义。当我提到“音乐”时，我的意思是我们作为现代 西方社会，会认为是音乐。但我们必须立即认识到，音乐的概念是文化可变的; 一些语言缺乏单词或短语来包含我们在西方理解的音乐作为整体现象。相反，他们 可能包含特定类型的音乐活动的单词，例如宗教歌曲、世俗歌曲、舞蹈和特定 仪器。4 当然，即使在西方，音乐也有一部分是在旁观者的耳中——尽管这种说法本身在约翰·凯奇 1952 年的作品《4'33“》中遇到了麻烦。5
Bruno Nettl, the distinguished ethnomusicologist, defined music as ‘human sound communication outside the scope of language’.3 That is perhaps as good a definition as we can get. When I refer to ‘music’ I mean something that we, as members of a modern Western society, would recognize as music. But we must immediately appreciate that the concept of music is culturally variable; some languages lack words or phrases to encompass music as the total phenomenon that we understand in the West. Instead, they may have words for specific types of musical activities, such as religious song, secular song, dance, and the playing of particular instruments.4 Even in the West, of course, music is partly in the ear of the beholder – although this statement itself runs into trouble with John Cage’s 1952 composition, 4’33”.5
语言的定义也许更直接：由词典 – 集合组成的通信系统 具有一致含义的单词 - 以及语法 - 一组关于单词如何组合以形成话语的规则。但即便如此 定义是有争议的。整体原始语言的拥护者艾莉森·雷 （Alison Wray） 认为，相当大的 口语由“公式化”话语组成——作为一个整体学习和使用的预制短语。成语是 最明显的例子，例如 'Straight from the Horse's Mouth' 或 A Pig in a Poke'。6 与本段中的其他句子不同，这些短语的含义无法通过英语知识来理解 词典和语法规则。
The definition of language is, perhaps, more straightforward: a com munication system consisting of a lexicon – a collection of words with agreed meanings – and a grammar – a set of rules for how words are combined to form utterances. But even this definition is contentious. Alison Wray, the champion of holistic proto-language, has argued that a considerable element of spoken language consists of ‘formulaic’ utterances – prefabricated phrases that are learnt and used as a whole. Idioms are the most obvious example, such as ‘straight from the horse’s mouth’ or a pig in a poke’.6 Unlike the other sentences within this paragraph, the meaning of such phrases cannot be understood by knowledge of the English lexicon and grammatical rules.
雷和其他一些语言学家认为，语言的“词语和规则”定义过分强调分析 的书面句子，对日常使用自发的言语关注不足，其中通常包含非常 很少对应于语法正确的句子。7 彼得·奥尔 （Peter Auer） 和 1999 年出版的《时间中的语言》（Language in Time） 一书的合著者会同意这一点。他们认为，传统语言学忽视了研究语言互动的节奏和节奏 – 我们在进行对话时同步话语的方式。这是一个基本且普遍的功能 与我们的语言使用有着明显的联系，并且与公共音乐制作有着明显的联系。
Wray and certain other linguists argue that the ‘words and rules’ definition of language places undue emphasis on the analysis of written sentences and pays insufficient attention to the everyday use of spontaneous speech, which often contains very little corresponding to a grammatically correct sentence.7 Peter Auer and the co-authors of the 1999 book, Language in Time, would agree with this. They argue that traditional linguistics has neglected to study the rhythms and tempos of verbal interaction – the manner in which we synchronize our utterances when having a conversation. This is a fundamental and universal feature of our language use, and has an evident link with communal music-making.
一些文化的声乐表达形式既不适合我们的音乐类别，也不适合我们的语言类别。最明显的 是印度宗教中背诵的咒语。8 这些是冗长的言语行为，通常听起来很像口语，但它们没有任何意义或语法结构。 它们从老师传给学生，不仅需要正确的发音，还需要正确的节奏、旋律和 身体姿势。因此，佛教咒语构成了几个世纪以来从未改变的固定表达方式。 它们同时具有语言和音乐的特征，但可以定义为两者都不具有。
Some cultures have forms of vocal expression that fit neither our category of music nor that of language. The most evident are the mantras recited within Indian religions.8 These are lengthy speech acts and often sound very much like spoken language, but they lack any meaning or grammatical structure. They are transmitted from master to pupil and require not only correct pronunciation but also the correct rhythm, melody and bodily posture. Buddhist mantras therefore constitute a repertoire of fixed expressions that have not changed for centuries. They have characteristics of both language and music, but can be defined as neither.
普遍性，但文化多元
Universal, but culturally diverse
众所周知，音乐和语言都存在于所有现存的人类社会和所有有历史记载的社会中; 考古学家确信，音乐和语言都存在于所有史前智人社会中。9 虽然音乐的概念可能有所不同，但所有文化都有歌舞，并且会产生某种形式的内在重复和变化 在他们的音乐话语中;它们使用基于音符长度和动态重音之间区别的节奏结构。10
Both music and language are known to exist in all extant human societies and all those that have been historically documented; archaeologists are confident that both music and language were present in all prehistoric societies of Homo sapiens.9 While the concept of music may vary, all cultures have song and dance, and make some form of internal repetition and variation in their musical utterances; they use rhythmic structures based on distinctions between note lengths and dynamic stresses.10
音乐的使用环境及其在社会中似乎发挥的功能也高度可变，娱乐、 社会制度的认可和社会纽带的培养尤为普遍。但最突出的 也许唯一的普遍背景是宗教：音乐无处不在，用于交流、赞美和/或服务 在任何特定文化中被识别的神灵。11
The contexts in which music is used and the function it appears to play in societies are also highly variable, with entertainment, the validation of social institutions, and the fostering of social bonds being particularly widespread. But the most prominent and perhaps the only universal context is that of religion: music is used everywhere to communicate with, glorify and/or serve the divinities identified within any particular culture.11
另一种形式的普遍性是在个人层面而不是社会或文化层面发现的普遍性：随着 除了那些患有认知缺陷的人之外，所有人都有获得语言的能力，并且天生就有 对音乐的天生欣赏。这是我将在第 6 章中证实和探讨的一个主张，其中婴儿发育 进行检查。布鲁诺·内特尔 （Bruno Nettl） 总结了全球形势：“显然，人类不仅决定制作音乐，而且尽管 世界上音乐之间的大量变化，以一种特定的方式呈现它。12
Another form of universality is that found at the level of the individual rather than of the society or culture: with the exception of those who suffer from a cognitive deficit, all individuals have a capacity to acquire language and are born with an inherent appreciation of music. This is a claim I will substantiate and explore in chapter 6, where infant development is examined. Bruno Nettl summarizes the global situation: ‘Evidently humanity has decided not only to make music but, despite the vast amount of variation among the musics of the world, to make it in a particular way.’12
音乐的普遍性也许比语言的普遍性更具争议性，因为我们更强调生产 而不是听，许多人宣称自己没有音乐。对此，约翰·布莱金 （John Blacking） 的评论， 1970 年代，关于他成长的中产阶级西方社会的理论与实践的矛盾（高中 Church Anglicanism， public school， Cambridge），今天仍然具有相关性。音乐过去和现在都在我们身边：我们听到它的时候 我们在餐馆和机场休息室吃饭并尝试交谈;它在收音机里整天播放;事实上，很少有 当有人不想用音乐来填补潜在的沉默时刻时。布莱克平评论说，“社会要求 只有有限数量的人是音乐的，但它的行为却好像所有人都拥有基本的能力，没有这种能力 任何音乐传统都不存在——聆听和区分声音模式的能力”。13 他赞成这样的观点，即不存在没有音乐的人类，并指出巴赫或 a 贝多芬之所以成为可能，是因为有挑剔的观众在场。14
The universality of music is, perhaps, more contentious than that of language because we place greater emphasis on production than listening, with many individuals declaring themselves to be unmusical. In this regard, John Blacking’s comments, made in the 1970s, on the contradiction between theory and practice in the middle-class, Western society in which he grew up (High Church Anglicanism, public school, Cambridge), remain pertinent today. Music was and remains all around us: we hear it when we eat and try to talk in restaurants and airport lounges; it is played all day long on the radio; in fact, there are few occasions when someone is not trying to fill moments of potential silence with music. Blacking remarked that ‘society claims that only a limited number of people are musical, and yet it behaves as if all possessed the basic capacity without which no musical tradition can exist – the capacity to listen and distinguish patterns of sound’.13 He favoured the idea that there was no such thing as an unmusical human being, and noted that the existence of a Bach or a Beethoven was only possible because of the presence of a discriminating audience.14
虽然语言和音乐在所有社会中都有，并且具有一些共同特征，但它们的研究历史一直是 主要以记录和解释其多样性的尝试为主。15 今日世上有六千多种语言，只占语言总数的一小部分 曾经说过。世界上的音乐数量可能会更多，并且显示出更多的多样性。
While both language and music are found in all societies, and share some common features, the history of their study has been largely dominated by attempts to document and explain their diversity.15 More than six thousand languages are spoken in the world today, this being a small fraction of the total number of languages ever spoken. The number of musics in the world is likely to be even greater and to display considerably more diversity.
正如我们有英语、中文和阿拉伯语一样，我们有爵士乐、黑脚印第安人和藏族圣歌音乐。就像语言一样， 音乐具有风格、地理和社会界限。他们可以分组为科;下降模式，混合 发展是可以追踪的。语言和音乐的这种多样性和模式化源于从一代到下一代、从一个社会到另一个社会的文化传播过程。这可以使识别 语言和音乐之间的界限很难，无论是在历史意义上（古英语是什么时候变成中古英语的， 还是古典音乐变得浪漫？或在当代世界。例如，民谣、蓝调、 福音、乡村和爵士乐，更不用说 Old Skool、Electro、Nuelectro、Hard House、Funky House、Deep House 和 Progressive 之间了 房子。16
Just as we have English, Chinese and Arabic languages, we have jazz, Blackfoot Indian and Tibetan chant musics. Like languages, musics have stylistic, geographical and social boundaries. They can be grouped into families; patterns of descent, blending and development can be traced. Such diversity and patterning in both languages and musics arises from the processes of cultural transmission from one generation to the next and from one society to another. This can make identifying the boundaries between languages and musics difficult, whether in a historical sense (when did Old English become Middle English, or Classical music become Romantic?) or in the contemporary world. Where, for instance, are the boundaries between folk, blues, gospel, country and jazz, let alone between old skool, electro, nuelectro, hard house, funky house, deep house and progressive house.16
音乐和语言在从一种文化形式翻译的程度上存在差异 到另一个。如果我听别人说一种我不熟悉的语言，我就会对 他们在说什么 – 特别是如果他们的语言来自与我自己的语言完全不同的语系，例如 日语或非洲所谓的“点击”语言之一。我可能会从面部表情、语调中了解一些情绪 和手势，但我几乎对内容一无所知。然而，如果我有翻译在场，那么那些神秘的 我听到的话语可以用英语翻译成我理解。
There is a contrast between musics and languages regarding the extent to which they can be translated from one cultural form to another. If I listen to someone speaking a language with which I am unfamiliar I will have very little, if any, idea of what they are saying – especially if their language comes from an entirely different language family from my own, such as Japanese or one of the African so-called ‘click’ languages. I may pick up some idea of mood from facial expression, intonation and gesture, but I will have hardly any knowledge of content. If, however, I have a translator present, then those mysterious utterances I hear can be rendered in English for me to understand.
音乐则完全不同。而我们不仅可以将日语翻译成英语，还可以翻译成 世界，尽管认识到我们可能会在此过程中失去原作的大部分微妙之处，但尝试是没有意义的 将一种文化使用的音乐翻译成另一种文化的音乐，而且没有理由这样做。17 正如约翰·布莱金在 1973 年指出的那样，这似乎表明，虽然存在普遍的 语言行为，音乐不存在这种可能性。布莱金继续讨论了来自南非的 Venda 人 他在 1950 年代与他们一起生活，表达的观点与我自己写这本书的理由相符，值得 详细引用：
Music is quite different. Whereas we can translate Japanese not only into English but into any other language spoken in the world, though recognizing that we may lose much of the subtlety of the original in the process, it makes no sense to attempt to translate the music used by one culture into that of another, and there is no reason to do so.17 As John Blacking noted back in 1973, this appears to suggest that while there is the possibility of a universal theory of linguistic behaviour, no such possibility exists for music. Blacking went on to discuss the Venda, people from South Africa with whom he lived during the 1950s, expressing views that match my own rationale for writing this book and which deserve quoting at length:
音乐可以超越时间和文化。音乐：这对莫扎特和贝多芬的同代人来说是令人兴奋的，现在仍然令人兴奋， 尽管我们不分享他们的文化。早期披头士乐队的歌曲仍然令人兴奋，尽管不幸的是披头士乐队已经 分手了。同样，一些肯定是数百年前创作的 Venda 歌曲仍然让我兴奋。我们中的许多人都是 日本的古筝音乐、印度的西塔琴音乐、Chopi 木琴音乐等令人兴奋。我不是说我们收到了 音乐与演奏者完全相同（我已经建议过，即使是单个社会的成员也不会接收 他们自己的音乐也是如此），但我们自己的经验表明，跨文化交流存在一些可能性。 我确信，对此的解释可以在音乐的深层结构层面上找到 是人类心理共有的元素，尽管它们可能不会出现在表面结构中。18
Music can transcend time and culture. Music: that was exciting to the contemporaries of Mozart and Beethoven is still exciting, although we do not share their culture. The early Beatles’ songs are still exciting although the Beatles have unfortunately broken up. Similarly, some Venda songs that must have been composed hundreds of years ago still excite me. Many of us are thrilled by Koto music from Japan, sitar music from India, Chopi xylophone music, and so on. I do not say that we receive music in exactly the same way as the players (and I have already suggested that even members of a single society do not receive their own music in the same way), but our own experiences suggest that there are some possibilities of cross-cultural communication. I am convinced that the explanation for this is to be found in the fact that at the level of deep structures in music there are elements that are common to the human psyche, although they may not appear in the surface structures.18
Brains and bodies as well as voices
语言和音乐有三种表达方式：它们可以是发声的，如语音和歌曲;它们可以是手势的，如 手语和舞蹈;而且它们可以被写下来。在每种情况下，它们在大脑中都有生物学基础;认知 病理会导致失语症、语言丧失和/或 amusia，即音乐的丧失（见第 3 章至第 5 章）。第一种模态 发声将是我在整本书中的主要关注点，而第三个是写作，是人类历史之外的产物 我的时间范围。然而，将身体用作音乐和语言交流的元素至关重要。 事实上，我关心的问题之一是音乐、语言和现代人类体格进化之间的关系。
Language and music share three modes of expression: they can be vocal, as in speech and song; they can be gestural, as in sign language and dance; and they can be written down. In each case, they have a biological basis in the brain; cognitive pathologies can lead to aphasia, the loss of language, and/or amusia, the loss of music (see chapters 3 to 5). The first modality, vocalization, will be my prime concern throughout this book, while the third, writing, is a product of human history outside my chronological scope. The use of the body as an element of musical and linguistic communication is, however, of key importance. Indeed, one of my concerns is the relationship between music, language and the evolution of the modern human physique.
音乐最引人注目但研究不足的方面之一是身体夹带，为什么我们开始敲击我们的手指和 脚趾，有时还会在听音乐时移动我们的整个身体。事实上，将有节奏和旋律的声音与有节奏的声音分开 而旋律运动——舞蹈中的歌曲——是相当人工的，在本书中，我将使用“音乐”这个词来“包含 声音和动作。理解这一点的最简单方法就是认识到歌曲本身只不过是一个产品 的运动，由声带的各个部分从横膈膜延伸到嘴唇。
One of the most striking and under-researched aspects of music is bodily entrainment why we start tapping our fingers and toes, and sometimes move our whole bodies, when listening to music. Indeed, to separate rhythmic and melodic sound from rhythmic and melodic movement – song from dance – is quite artificial, and throughout this book I will use the word ‘music’ to “encompass both sound and movement. The easiest way to appreciate this is simply to recognize that song itself is no more than a product of movement, made by the various parts of the vocal tract reaching from the diaphragm to the lips.
即使将手语排除在外，许多人也会争辩说，将语言分开同样是人为的 from 手势。手或整个身体的运动经常伴随着口语;事实上，有几位人类学家 》中指出，口语是从手势演变而来的。19 与音乐一样，虽然口语中出现的一些手势是有意为之的，但大多数是自发的。 说话者通常没有意识到他们正在打手势，许多人发现很难以某种方式抑制这种动作 类似于人们在听到音乐时无法停止移动他们的身体（我将在第 10 章中进一步考虑）。20
Even when sign language is taken out of the equation, many would argue that it is equally artificial to separate language from gesture. Movements of the hands or the whole body very frequently accompany spoken utterances; indeed, several anthropologists have argued that spoken language evolved from gesture.19 As with music, although some gestures that occur with spoken language are intentional, the majority are quite spontaneous. Speakers are often unaware that they are gesticulating and many find it difficult to inhibit such movements – in a manner similar to people’s inability to stop moving their bodies when they hear music (as I will further consider in chapter 10).20
收购和能力
Acquisition and competence
特定语言从一代到另一代的文化传播似乎是通过被动的童年习得发生的： 他们只是倾听和学习。我说“似乎”是因为孩子们肯定需要练习;他们无法胜任 语言，除非他们与经验丰富的语言使用者进行有意义的交流。到四岁时，他们将拥有一本词典 的数千个单词和一套语法规则供他们使用，允许他们将自己的单词组合成 话语范围广。21 此外，无论儿童学习什么语言，他们似乎都经历了相同的语言习得阶段。 虽然孩子们以类似的方式获得音乐传统的知识，但音乐专业知识似乎要困难得多 获得 – 正如那些多年来遭受钢琴、小提琴或歌唱课程的人所证明的那样（他们的父母将证实）。 然而，我们必须谨慎，因为我们的观念被现代西方文化所主导。
The cultural transmission of a specific language from one generation to another seemingly happens by passive childhood acquisition: they just listen and learn. I say ‘seemingly’ because children certainly need to practise; they do not become competent in language unless they engage in meaningful exchanges with experienced language users. By the age of four they will have a lexicon of several thousand words and a suite of grammatical rules at their disposal, allowing them to compose their words into a huge range of utterances.21 Moreover, irrespective of what language children are learning, they appear to pass through the same stages of language acquisition. While children gain knowledge of musical traditions in a similar fashion, it might seem that expertise in music is far more difficult to acquire – as those who have suffered piano, violin or singing lessons for years will testify (and their parents will confirm). We must, however, be cautious, because our perceptions are dominated by modern Western culture.
在“传统”社会中，歌曲在日常生活中往往更为普遍，因此音乐知识的获得是婴儿级的 可能比西方社会要容易得多。事实上，如果我们把重点放在倾听和非正式的歌唱上 和跳舞， 22 而不是在技术上要求很高的乐器演奏，这也许更像是写作而不是说话， 那么音乐性的发展可能看起来就像语言的发展一样自然。约翰·布莱金 （John Blacking） 的文化音乐研究 这让他得出结论：“在我看来，音乐中最重要的东西最终是无法学习的 就像其他文化技能一样;它存在于体内，等待被带出和发展，就像 语言。23
In ‘traditional’ societies, song is often far more pervasive in everyday life, and hence infant acquisition of musical knowledge may be far easier than it is in Western society. Indeed, if we were to place the emphasis on listening and informal singing and dancing, 22 rather than on the technically demanding playing of musical instruments, which is perhaps more akin to writing than to speaking, then the development of musicality might appear as natural as that of language. John Blacking’s studies of music in cultures throughout the world led him to conclude: ‘It seems to me that what is ultimately of most importance in music cannot be learned like other cultural skills; it is there in the body, waiting to be brought out and developed, like the basic principles of language.’23
尽管许多成年人会说双语，有些人能流利地使用多种语言，但大多数人主要只熟悉一种语言 语言，他们在语言中说和听一样能干。至少，这是我们的普遍看法，也许是 受到由单一语言统一的大民族国家的强烈影响。双语甚至多语言 在过去可能更频繁，并且可能是工业化西方以外的当前常态。即使这个 尽管如此，与音乐的能力水平仍然存在明显的对比：大多数人都会很熟悉 具有多种音乐风格，但在制作而不是聆听方面将受到更多限制。很少有人会作曲 一个乐谱和许多人（包括我自己）都无法保持一个曲调。24 然而，这又可能是当前西方社会的产物，而不是整个人类状况的产物：它可能反映了 音乐在西方教育体系中相对不重要，对音乐的态度相当精英化和正式化 这些都因此而出现。
Although many adults are bilingual, and some are fluent in many languages, the majority are primarily familiar with just one language, in which they are as competent in speaking as in listening. At least, that is our common perception, which is perhaps strongly influenced by the presence of large nation states unified by a single language. Bilingualism and even multilingualism may well have been more frequent in the past, and might be the current norm outside of the industrialized West. Even if this is the case, though, there is still a marked contrast with levels of competence in music: the majority of people will be familiar with a variety of musical styles, but will be far more limited when it comes to producing rather than listening. Few can compose a musical score and many (myself included) cannot hold a tune.24 Yet this again may be a product of current Western society rather than of the human condition at large: it may reflect the relative unimportance of music in Western educational systems and the rather elitist and formalized attitudes towards music that have arisen in consequence.
层次结构、递归和节奏
Hierarchical structure, recursion and rhythm
语言和音乐都具有分层结构，由组合的声学元素（单词或音调）构成 转换为短语（话语或旋律），可以进一步组合成语言或音乐事件。他们都可以是 被描述为“组合系统”。
Both language and music have a hierarchical structure, being constituted by acoustic elements (words or tones) that are combined into phrases (utterances or melodies), which can be further combined to make language or musical events. They can both be described as ‘combinatorial systems’.
这种组合的方式通常会导致递归 – 嵌入语言或音乐短语 在类似类型的短语中，例如子句中的子句。这实现了可能无限的表达式范围 从一组有限元生成。由同样享有盛誉的哈佛大学 Marc Hauser、Noam Chomsky 和 Tecumseh Fitch 团队最近在著名的期刊《科学》上对人类语言进行了综述，得出结论认为递归 是语言的唯一属性，在动物交流系统中缺乏任何相似之处，因此它似乎 是最近进化而来的——也就是说，在 600 万年前与普通人类黑猩猩祖先分离之后的 Homo 谱系中进化。25 但乔姆斯基和他的同事们怀疑递归是否起源于语言系统的一部分。他们认为它是进化而来的 作为解决与导航、数字操作或社交互动相关的计算问题的手段，然后成为 作为进化衍生产品的一部分。他们没有注意到的是，递归是最关键的 音乐的特点。26 正如伊恩·克洛斯（Ian Cross）所指出的，通过强调递归的作用，乔姆斯基对语言的定义也同样适用 音乐。27
The manner in which such combinations are made often leads to recursion – the embedding of a linguistic or musical phrase within a phrase of a similar type, such as a clause within a clause. This enables a potentially infinite range of expressions to be generated from a suite of finite elements. A recent review of human language in the prestigious journal Science, by the equally prestigious Harvard University team of Marc Hauser, Noam Chomsky and Tecumseh Fitch, concluded that recursion is the only attribute of language that lacks any parallel within animal communication systems, and that it therefore appears to have evolved recently – that is to say, in the Homo lineage after the time of separation from the common human-chimpanzee ancestor at 6 million years ago.25 But Chomsky and his colleagues doubt whether recursion originated as part of a linguistic system. They suggest that it evolved as a means to solve computational problems relating to navigation, number manipulation or social interaction, and then became part of the language system as an evolutionary spin-off. What they do not notice is that recursion is one of the most critical features of music.26 As Ian Cross has noted, by stressing the role of recursion, Chomsky’s definition of language comes to be equally applicable to music.27
相反，节奏被认为是音乐的一个关键特征，而 语言使用的节奏性质。Peter Auer 和他的同事们认为，由于忽视了 对话中的说话者 我们未能解决语言最重要的特征之一。他们分析了时间 以及许多对话的节奏结构，以英语、意大利语和德语进行，研究如何实现多个 演讲者参与对话，从一个 “与会者 ”平稳过渡到另一个 “与会者”。他们得出的结论是，初始 说话者建立了一个清晰的节奏模式，然后“无问题地轮流......不仅仅是缺席的问题 重叠（同时）谈话和/或“间隙”，而是取决于一种可以预测的节奏感 当轮到下一个说话者的第一个重读音节到期时”。28
Conversely, rhythm is acknowledged as a key feature of music while little, if any, significance is usually attached to the rhythmic nature of language use. Peter Auer and his colleagues have argued that by neglecting the rhythmic interaction of speakers within a conversation we fail to address one of the most important features of language. They have analysed the temporal and rhythmic structures of many conversations, held in English, Italian and German, examining how it is possible for multiple speakers to engage in conversations with smooth transitions from one ‘floor-holder’ to another. They conclude that the initial speaker establishes a clear rhythmic pattern, and then ‘unproblematic turn taking … is not simply a matter of the absence of overlapped (simultaneous) talk and/or “gaps” but, rather, depends on a sense of rhythmicity that makes it possible to predict when the first stressed syllable of the next speaker’s turn is due’.28
符号和含义
Symbols and meaning
尽管音乐和语言都是由离散单位（单词和声调）构成的分层系统，但 这些单位在根本上是不同的，那些语言的单位是符号;29 我称它们为符号，只是意味着绝大多数词都与实体有任意的关联 他们提到的;“狗”这个词代表或指的是一种特定类型的毛状哺乳动物，但它的外观或声音已不再存在 像狗一样，“树”或“人”这两个词听起来像是大型木本植物或人类物种的雄性形式。不 所有词语都具有这种性质。拟声词在所有语言中都很重要，在本书的后面，我将讨论声音联觉 – 某些单词听起来与它们的所指对象的外观、移动或感觉相似的方式。30 可是，婴儿最显著的成就之一，就是他们能够在这么短的时间内学会许多词语的任意意思。
Although both music and language are hierarchical systems constructed from discrete units (words and tones), the nature of these units is fundamentally different those of language are symbols; those of music are not.29 By calling them symbols, I simply mean that the large majority of words have an arbitrary association with the entity to which they refer; the word ‘dog’ stands for, or refers to, a particular type of hairy mammal, but it no more looks or sounds like a dog than the words ‘tree’ or ‘man’ sound like a large woody-stemmed plant or the male form of the human species. Not all words are of this nature. Onomatopoeias are important in all languages, and later in this book I will consider sound synaesthesia – the manner in which some words appear to sound similar to the way their referents look, move or feel.30 Nevertheless, one of the most remarkable achievements of infants is that they are able to learn the arbitrary meaning of a vast number of words within such a short space of time.
音符缺乏指涉意义。中间 C 就是中间 C，没有别的：它没有指涉;它不是一个符号。高音调 响亮的音调通常用于吸引注意力和暗示危险，例如火警或警笛，但这由 很大程度上来自声音的上下文，就像音调本身一样;如果在音乐厅听到它们，会产生完全不同的影响。 尽管一些音符，更具体地说，一些音符序列，可能会在不同的 个体（正如我将在第 7 章中研究的那样），没有公认的约定来描述音符如何指代情绪，因为那里 是关于单词及其含义的。
Musical notes lack referential meanings. Middle C is middle C and nothing else: it has no referent; it is not a symbol. High-pitched loud tones are often used to attract attention and suggest danger, as in fire alarms or police sirens, but this derives as much from the context of the sound as the tone itself; if heard in a concert hall they would have a quite different impact. Although some notes, and, more particularly, some sequences of notes, may create similar emotional responses in different individuals (as I will examine in chapter 7), there is no agreed convention describing how notes refer to emotions as there is for words and their meanings.
如果意义与音乐作品有关，它们通常具有高度个人化的性质，可能与记忆有关 过去听到同样的音乐——“亲爱的，他们在演奏我们的曲调”综合症。正如 Ian Cross 最近所做的那样 表示：“同一首音乐对表演者和听众来说可能具有完全不同的含义，或者对两种不同的含义 听众;它甚至可能在特定时间对单个听众或参与者具有多种不同的含义。31 宗教音乐的情况最为明显;我是一个无神论者，所以当我听 18 世纪伟大的合唱团时 那些为荣耀上帝而写的作品，如亨德尔的《弥赛亚》或巴赫的《圣马太受难曲》，它们对我来说“意义”与对有宗教信仰的人来说完全不同。正如约翰·布莱金 （John Blacking） 所解释的那样， 如果不参考 18 世纪的世界观，就无法完全理解亨德尔和巴赫的音乐——只是 因为在印度教文化的背景下无法完全理解北印度音乐。所以我，知识也有限 18 世纪欧洲文化或印度教文化，将不可避免地获得与那些音乐截然不同的东西 来自在各自文化中倾听他们的人。32
If meanings are attached to pieces of music, they are usually of a highly individual nature, perhaps relating to memories of past times when the same music was heard – the ‘they’re playing our tune, darling’ syndrome. As Ian Cross has recently stated, ‘one and the same piece of music can bear quite different meanings for performer and listener, or for two different listeners; it may even bear multiple disparate meanings for a single listener or participant at a particular time’.31 This is most evidently the case with religious music; I am an atheist, so when I listen to the great eighteenth-century choral works that were written to glorify God, such as Handel’s Messiah or Bach’s St Matthew Passion, they ‘mean’ something quite different to me than they would to someone of religious faith. As John Blacking has explained, the music of Handel and Bach cannot be fully understood without reference to the eighteenth-century view of the world – just as northern Indian music cannot be fully understood outside the context of Hindu culture. So I, with limited knowledge either of eighteenth-century European culture or of Hindu culture, will inevitably gain something quite different from those musics from people listening to them within those respective cultures.32
肥皂剧的主题曲说明了某些音乐作品如何在单个社区中具有共同的意义。 That for the Archers 是 BBC Radio 4 的长期连续剧，将立即被英国各地的许多人所认可并被理解 作为该广播节目的符号——尽管“符号”或“索引”一词实际上更合适。33 他们听这曲子时，不能不考虑弓箭手。但大多数来自世界其他地方的人（我猜）对这种关联知之甚少，并且会倾听 这首曲子是一首没有任何象征意义的音乐。
The theme tunes for soap operas illustrate how some pieces of music can have, a shared meaning within a single community. That for the Archers, a long-running BBC Radio 4 serial, will be instantly recognizable to a great many people throughout the UK and will be Understood as a symbol for that radio programme – although the term ‘sign’ or ‘index’ is actually more appropriate.33 They will not be able to listen to the tune without thinking of the Archers. But most people (I guess) from elsewhere in the world would have little inkling of this association, and would listen to the tune as a piece of music without any symbolic association.
这种类型的含义来自整个音乐作品，或者至少是重复旋律的很大一部分，而不是 而不是由附加到单独注释的单个含义构成。口语的一些含义 话语是相同的。这些是本章开头提到的预制短语，例如“不要在鸡孵化之前数数”，这些短语是可以理解的 当分解成单个单词或语音时，它们就像 Archers 主题曲分解成单个音符时一样毫无意义。
This type of meaning derives from the piece of music as a whole, or at least a significant chunk of the repeated melody, rather than being constructed from individual meanings attached to the separate notes. Some of the meanings attributed to spoken utterances are the same. These are the prefabricated phrases referred to at the start of this chapter, such as ‘don’t count your chickens before they’re hatched’, which are understood in a holistic manner and are just as meaningless when decomposed into individual words or speech sounds as is the Archers theme tune when decomposed into individual notes.
同样的情况是，我们可以通过处理来理解用外语对我们说的话语的含义 它是整体性的，而不是构图性的。例如，我了解到威尔士语短语 mae'n flin 'da fi 的意思是“对不起”，但我不理解它的组成结构——哪个声音的意思是“我是”，哪个意思是“对不起” ——以讲威尔士语的方式。语言的这些公式化方面表明与音乐的相似性比可能更大 最初是明显的。34
It is also the case that we might come to understand the meaning of an utterance spoken to us in a foreign language by processing it holistically rather than compositionally. For instance, I have learnt that the Welsh phrase mae’n flin ‘da fi means ‘I’m sorry’, but I do not understand its compositional structure – which sound means ‘I am’ and which means ‘sorry’ – in the way a Welsh-speaker would. These formulaic aspects of language suggest a greater similarity with music than might initially be apparent.34
语言和音乐语法
Grammar in language and music
当单词通过使用规则（语法）组合成口语或书面句子时，语言是组合性的 的。更准确地说，这是通过使用语法来实现的，语法是三个规则系统之一 构成语法。另外两个是形态学——单词和部分单词组合起来使复杂化的方式 单词 – 和音系 – 控制语言声音系统的规则。
Language is compositional when words are combined into spoken utterances or written sentences by the use of rules – the grammar of the language concerned. To be more precise, this is achieved by the use of syntax, which is one of the three rule systems that constitute grammar. The two others are morphology – the manner in which words and part-words are combined to make complex words – and phonology – the rules that govern the sound system of a language.
语法规则很特殊，因为它们为短语提供的意义超出了符号本身所包含的意义; 他们将单词含义映射到句子含义。因此，'man bites dog' 与 'dog bites man' 的含义不同，因为 在英语语法中，主语在动词之前。语法规则还提供了有限数量的单词 可以用于创建无限数量的句子，部分是通过提供递归的特性，如 上述。
Grammatical rules are special because they provide meaning to the phrase beyond that contained within the symbols themselves; they map word meanings into sentence meanings. Hence ‘man bites dog’ has a different meaning from ‘dog bites man’ because in English grammar the subject precedes the verb. Grammatical rules also provide the means by which the finite number of words within a language can be used to create an infinite number of sentences, partly by delivering the feature of recursion, as described above.
儿童对语法规则的习得是了不起的，因为这些规则必须从话语中抽象出来 他们听到了。事实上，在 1950 年代写作时，诺姆·乔姆斯基 （Noam Chomsky） 发现孩子们可以在 就像他们学习画画、演奏乐器或骑自行车一样。他认为，数量和特征 儿童从父母、兄弟姐妹和其他人那里听到的话语中，可能会提供足够的信息 他们提取语法规则，以便他们能够产生自己独特但有意义的话语。这被引用了 to 作为“刺激的贫困”论点。它导致了“通用语法”的想法——一套与生俱来的倾向 这在所有智人中都是普遍的，并为获得语法提供了一种领先优势。这意味着有一些语法规则是所有语言共享的，并且只是以不同的形式表现出来。当婴儿听从父母和其他 语言用户，“通用语法”的某些“参数”以适合特定语言的方式设置 正在被收购。
The acquisition of grammatical rules by children is remarkable, because the rules have to be abstracted from the utterances they hear. Indeed, when writing in the 1950s, Noam Chomsky found it inconceivable that children could learn language in the same manner as they learn to draw, play a musical instrument or ride a bicycle. He argued that the quantity and character of the utterances children hear from their parents, siblings and others would sirnply provide insufficient information for them to extract the rules of grammar so that they could produce their own unique but meaningful utterances. This was referred to as the ‘poverty of the stimulus’ argument. It led to the idea of a ‘Universal Grammar’ – an innate set of predispositions that is universal among all Homo sapiens and provides a form of head start in acquiring grammar. This implies that there are some rules of grammar that are shared by all languages and are simply manifest in different forms. When an infant listens to its parents and other language users, certain ‘parameters’ of ‘Universal Grammar’ are set in the manner appropriate for the particular language being acquired.
在乔姆斯基提出“通用语法”的建议后，音乐学家开始寻找音乐的对应物。35 他们没有走很远。语法是为特定的音乐（例如瑞典民歌）生成的，并且能够生成 具有相同基本结构的新音乐作品。事实上，根据定义，所有的音乐风格都符合一套规则 因为在那种风格中是可以接受的。如果不遵循音乐风格的规则，那么这首音乐可能会听起来 就像打破语法规则的口语一样尴尬。例如，我们大多数西方人都已经开发了 直观和共享的音乐“音调知识”，可以判断一组音乐音调何时不一致;他们只会 听起来是 “错误的”，正如第 4 章中将解释的那样。这种声调知识规则的描述（见下文，第 51-2 页）如下 对大多数读者来说很迟钝，就像我们同样毫不费力地获得和应用的语言语法的描述一样。
After Chomsky made his proposals about ‘Universal Grammar’, music-ologists began searching for the musical equivalent.35 They did not get very far. Grammars were produced for specific musics, such as Swedish folk songs, and were able to generate new pieces of music with the same essential structure. Indeed, by definition, all musical styles accord to a set of rules for what is acceptable within that style. If the rules of a musical style are not followed, then the piece of music may sound as awkward as a spoken utterance that breaks the rules of grammar. Most of us in the West, for instance, have developed an intuitive and shared ‘tonal knowledge’ of music and can tell when a suite of musical tones do not conform; they will simply sound ‘wrong’, as will be explained in chapter 4. The description of such tonal knowledge rules (see below, pp. 51–2) is as obtuse to most readers as would be a description of the linguistic grammar that we equally effortlessly acquire and apply.
阐明音乐语法的最雄心勃勃的尝试是 Fred Lerdahl 和 Ray Jackendoff 在他们 1983 年出版的《A Generative Theory of Tonal Music》一书中所做的尝试。36 他们认为，调性音乐的知识依赖于与生俱来的音乐能力——相当于“通用 语法”。但很少有音乐学家接受这种音乐能力等同于语言的语法。 正如音乐哲学家道格拉斯·邓普斯特 （Douglas Dempster） 最近解释的那样，许多系统都受规则控制（例如， 国际象棋游戏或烹饪食谱）和例程（如执行各种计算机任务或设置录像机时）， 但是，将这些描述为 “语法” ，我们几乎没有什么收获。37 这同样适用于音乐。
The most ambitious attempt at elucidating the grammar of music was that of Fred Lerdahl and Ray Jackendoff in their 1983 book, A Generative Theory of Tonal Music.36 They argued that knowledge of tonal music relies on a musical competence that is innate – a musical equivalent of ‘Universal Grammar’. But few musicologists have accepted that this musical competence is equivalent to a grammar like that of language. As Douglas Dempster, a philosopher of music, has recently explained, many systems are governed by rules (for example, the game of chess, or cooking recipes) and by routines (as when undertaking various computer tasks, or setting a video recorder), but we gain little, if anything, by describing these as ‘grammars’.37 The same applies to music.
音乐风格的规则和语言的规则截然不同。那些音乐在 就像语言语法为语言提供意义一样。虽然“人咬狗”与“狗”有着根本的不同 Bits Man'，颠倒三个音符的顺序对一首音乐来说意义要小得多。它可能会使作品听起来 很尴尬，但不能说这种反转改变了它的意义，因为一开始就没有什么可改变的。
The rules of a musical style and the rules of a language are profoundly different. Those of music do not provide meaning in the same way that linguistic grammar provides meaning to language. While ‘man bites dog’ is fundamentally different from ‘dog bites man’, reversing the order of three notes is of far less significance to a piece of music. It may make the piece sound awkward, but the reversal cannot be said to change its meaning, because there was none to change in the first place.
随时间变化
Change through time
音乐风格的规则和语言语法之间的第二个主要区别是变化率。邓普斯特 表明因为我们使用语言进行交流，需要理解说话者的意图，所以存在巨大的压力 对一种语言的语法规则保持稳定。音乐规则的压力是完全不同的，因为我们重视音乐风格中的偏差—— 尽管，这可能再次受到现代西方音乐经验的偏见，并且会受到矛盾 通过其他音乐传统中的一致性和稳定性程度。尽管如此，Dempster 认为存在 巨大的审美压力使音乐风格的规则与 语言。38 元
A second major difference between the rules of a musical style and the grammar of a language is the rate of change. Dempster suggests that because we use language to communicate and need to understand a speaker’s intentions, there is enormous pressure on the grammatical rules of a language to remain stable. The pressures on the rules of music are quite different, because we value deviation within musical styles – although, once again, this may be a view that is biased by the experience of modern Western music and would be contradicted by the degrees of conformity and stability found in other musical traditions. Nevertheless, Dempster argues that there are enormous aesthetic pressures for the rules of musical styles to remain comparatively unstable in comparison with those of languages.38
当然，语言确实会随着时间的推移而变化。发音不断发展，新词被发明或从其他语言引入， 单词的含义漂移（集中表现为“gay”一词在最后两个单词中改变其含义的方式，或者 三十年）。语言被用作维护社会身份的一种手段——通过采用特定的俚语或行话， 例如，随着社会结构的变化，其语言的特征也会发生变化。然而，这种变化是 相对较慢，因为必须保持代际和社会群体之间的有效沟通。它很可能 一种语言需要长达一千年的时间才能演变成难以理解的形式。
Languages do, of course, change through time. Pronunciations evolve, new words are invented or imported from other languages, the meanings of words drift (epitomized by the way in which the word ‘gay’ has changed its meaning within the last two or three decades). Language is used as a means of asserting social identity – by the adoption of a particular slang or jargon, for example – and hence as the structure of society changes so will the character of its language. Such change, however, is relatively slow, because effective communication between generations and social groups must be maintained. It most probably takes as much as a thousand years for a language to evolve into an unintelligible form.
音乐的发展速度从 1970 年代初以来说唱的发展中显而易见，这是 嘻哈的一般亚文化，包括霹雳舞、“切割和刮擦”唱片和涂鸦。它起源于 布朗克斯，通常被认为是牙买加 DJ Kool Herc 的到来，他开始在乐器上吟唱 当天流行歌曲的部分。从那时起，说唱经历了迅速的发展，因为几乎没有，如果有的话， 除了与音乐一起押韵以外的规则;一个人可以说唱任何东西，但要注重原创和注入 一个人自己的个性。在 1980 年代中期，说唱和一般的嘻哈音乐一起成为主流，而 1990 年代则见证了崛起 政治和黑帮说唱。艺术家们已经准备好从许多不同的来源借用声音，包括民谣 音乐、爵士乐和电视新闻广播，随着互联网的出现，说唱现在已成为一种真正的全球音乐现象。 这里特别有趣的是，嘻哈文化的俚语已经影响了整个语言，成为 是许多不同种族群体的标准词汇的一部分。
The speed at which music can evolve is readily apparent from the development since the early 1970s of rap, part of a more general subculture of hip hop which includes break-dancing, ‘cutting and scratching’ records and graffiti. It originated in the Bronx and is often identified with the arrival of the Jamaican DJ known as Kool Herc, who began to chant over the instrumental sections of the day’s popular songs. From that point, rap underwent swift development because there were very few, if any, rules other than rhyming in time to the music; one could rap about anything, with a premium on being original and injecting one’s own personality. In the mid-1980s rap, along with hip hop in general, became mainstream, while the 1990s saw the rise of political and then gangsta rap. Artists have been prepared to borrow sounds from many disparate sources including folk music, jazz and television news broadcasts, and with the advent of the Internet rap is now a truly global musical phenomenon. And what is particularly interesting to note here is that the slang of hip hop culture has influenced language at large, becoming part of the standard vocabulary among many groups of various ethnic origins.
信息传输、引用、操纵
Information transmission, reference, manipulation
语言，无论是口头的、书面的还是手势的，主要用作交流思想或知识的有意手段 发送给一个或多个其他个人，并明确定义消息的“发件人”和一个或多个“收件人”。也许 语言最引人注目的是它非常适合这个角色;语言几乎被用来交流一切，从我们最亲密的感受，到日常和日常事件，再到关于宇宙如何起源的理论。39 元
Language, whether spoken, written or gestural, is principally used as an intentional means to communicate ideas or knowledge to one or more other individuals, with a clearly defined ‘sender’ and one or more ‘receiver(s)’ of the message. Perhaps the most remarkable thing about language is how suited it is to this role; language is used to communicate about virtually everything, from our most intimate feelings, through daily and routine events, to theories about how the universe originated.39
在这方面，语言与音乐有着根本的不同。根据 Ian Cross 的说法，很多音乐都缺乏任何清晰的 交际功能：“娱乐合唱团或业余摇滚乐队的成员可能很少（如果有的话）担任这个角色 表演者;对他们来说，音乐可能更像是一种参与式互动的媒介，所有人都是平等和同时的 表演者和听众......同样，如果我们看看非西方的音乐实践，许多人似乎都以这种存在理由为依据 不是将音乐信息从主动表演者传递到被动听众，而是集体参与 声音和运动的复杂模式的同步产生和感知”。40
In this regard, language is fundamentally different from music. According to Ian Cross, a great deal of music lacks any clear communicative function: ‘the members of a recreational choir or of an amateur rock band may rarely, if ever, fulfil the role of performer; for them, music may be more a medium for participatory interaction where all are equally and simultaneously performers and listeners … similarly if we look to non-western musical practices many seem to have as their raison d’être not the transmission of musical information from the active performer to the passive listener but collective engagement in the synchronous production and perception of complex patterns of sounds and movement’.40
杰出的音乐心理学家约翰·斯洛博达 （John Sloboda） 解释说：“我们使用语言来做出断言或提出问题 关于现实世界及其中的对象和关系。如果音乐有任何主题，那肯定是 与正常语言不同。41 这并不排除音乐可以用来讲述故事或参考现实世界的可能性。42 斯洛博达引用了某人被要求的例子。他对最近听到的一首交响曲的回应。它可能包含 不仅有一些描述（“它很响”）和一些评价（“我喜欢它”），还有一些对音乐的描述 隐喻（“它有一种胜利解决的长期英勇斗争的感觉”）。43 斯洛博达解释说，人们几乎总是能提供一些评论，即使他们得出的描述可能完全不同 对于同一首音乐。
John Sloboda, a distinguished music psychologist, has explained that ‘we use language to make assertions or ask questions about the real world and the objects and relationships in it. If music has any subject matter at all, then it is certainly not the same as normal language.’41 This does not exclude the possibilities that music can be used to tell stories or make reference to the real world.42 Sloboda cites the case of someone who has been asked for.’ his response to a recently heard symphony. It is likely to contain not only some description (‘it was loud’) and some evaluation (‘I liked it’) but also some characterization of the music through metaphor (‘it had the feeling of a long heroic struggle triumphantly resolved’).43 People, Sloboda explains, nearly always have some comment to offer, even though they may arrive at quite different characterizations for the same piece of music.
这种对音乐的反应可能受到了模仿的启发——木管乐器的“鸟鸣”来唤起田园风光，或滑音 小提琴暗示着暴风雨的呼啸。因此，引用是通过使用音符和短语来实现的，而不是 作为符号，而是作为标志甚至图标。在极少数情况下，当找到符号引用时，这往往是事件 在音乐本身之外，并依赖于语言和/或视觉输入。Sloboda 提供了一部歌剧的例子 其中，特定的音乐主题与牛群的出现有关。然后，在他不在的时候，它可能会被用来表示 比如说，女主人公在想他。这可以被描述为象征主义，尽管音乐确实表现得不 不仅仅是英雄外表的索引或标志。
Such responses to music may have been inspired by the use of mimicry – woodwind ‘birdsong’ to evoke a pastoral scene, or glissandi violins to suggest the howling wind of a storm. The reference is, therefore, achieved by using musical notes and phrases not as symbols but as signs or even icons. In the rare instances when symbolic reference is found, this tends to be to events outside of the music itself and to be reliant on linguistic and/or visual input. Sloboda provides the example of an opera where a particular musical theme is associated with the appearance of the herd. It might then be used in his absence to signify that, say, the heroine is thinking of him. This could be described as symbolism, although the music is really acting as no more than an index or sign of the hero’s appearance.
总之，音乐是一种非指涉性的交流系统。然而，尽管一首音乐并不能“告诉”我们任何东西 关于这个世界，它可以对我们的情绪产生深远的影响——例如，让我们感到快乐或悲伤（我将考虑 在第 7 章中）。它还可以通过夹带现象使我们移动。因此，我们可以将音乐描述为“操纵性” 而不是指涉性质。语言通常被认为主要是指涉性的，因为它告诉我们关于世界的事情;然而，通常当我们被告知一些事情时 我们被驱使着采取行动，因此语言也可能被描绘成具有操纵性的。
In summary, music is a non-referential system of communication. Yet although a piece of music does not ‘tell’ us anything about the world, it can have a profound impact on our emotions – for instance, by making us feel happy or sad (as I will consider below and in chapter 7). It can also make us move, by the phenomenon of entrainment. We can therefore describe music as ‘manipulative’ rather than referential in character. Language is often thought to be principally referential because it tells us things about the world; often, however, when we are told something we are driven to action, and so language, too, might be portrayed as being manipulative.
认知挑战
The cognitive challenge
语言可以被描述为表达思想的一种方式。这种想法通常被认为是独立存在的 的语言，可以被非语言甚至前语言的人娱乐。再一次，我们必须谨慎，因为 人类思想的某些方面，尤其是那些与抽象实体有关的方面，可能取决于 语言的使用，44 而不是相反（我们将在后面的第 16 章中探讨）。此外，将类人归因的风险很大 对其他动物的思想，仅仅是因为我们很难想象没有这种思想的思想。
Language can be characterized as a means of expressing thoughts. Such thoughts are generally believed to exist independently of language and could be entertained by a non-linguistic or even a prelinguistic human. Once again, we must be cautious, because some aspects of human thought, especially those concerned with abstract entities, might be dependent upon the possession and use of language, 44 rather than the other way round (as we will explore later, in chapter 16). Also, there is a great risk of attributing humanlike thoughts to other animals simply because we have difficulty in imagining minds without such thoughts.
因为大多数话语都是思想的表达，所以听众是这些思想，而不是文字本身 希望理解。这通常涉及大量的推理，听众会使用大量的附加信息 为了获得话语的含义——例如他们对说话者、被引用的实体的了解 to 和话语的语调。当被要求重复某人所说的话时，听者很少会逐字重复， 而是会表达他们所理解的话语背后的想法。45 有鉴于此，语言似乎依赖于另一种认知技能，即所谓的“心智理论”。这是 理解另一个人可能拥有与自己不同的信仰和愿望的能力。猿类可能 缺乏这种能力，这可能会限制他们学习语言的能力——就像以前非常年幼的孩子一样 他们的心智理论能力得到了发展。46
Because most utterances are expressions of thoughts, it is those thoughts, rather than the words themselves, that a listener wishes to understand. This often involves considerable inference and listeners will employ a great deal of additional information in order to garner the meaning of an utterance – such as what they know about the person speaking, the entities being referred to, and the intonation of the utterance. When asked to repeat what someone has said, a listener will rarely do this verbatim, but will instead express what they understood to be the thought behind the utterance.45 In light of this, language appears to be dependent upon another cognitive skill, that known as ‘theory of mind’. This is the ability to understand that another individual may have beliefs and desires that are different from one’s own. Apes may lack this ability, which may constrain their ability to acquire language – as is the case with very young children before their theory of mind abilities have developed.46
音乐似乎对认知的要求较少。听众不需要推断表演者的想法和意图 或作曲家 – 尽管他们可能会尝试这样做，这可能会增强他们的体验。您可以简单地坐下来，让 音乐“冲刷”您的身心，根本不需要集中注意力或积极聆听。事实上，我们经常有音乐 当我们在晚餐时交谈或参与其他活动时在背景中播放（我有 J. S. Bach 的大提琴组曲 在我今天写作时在后台播放;昨天是鲍勃·迪伦 （Bob Dylan））。然而，即使是这样的背景音乐也具有一种认知 和生理影响：就像我们在听口语时会自动推断说话者的想法一样，并且 在某种程度上，我们开始分享这些想法，所以我们在听音乐时会自动地激发自己内心的情绪。 事实上，音乐经常操纵我们的情绪。
Music appears to make fewer cognitive demands. Listeners are not required to infer the thoughts and intentions of the performer or composer – although they may attempt to do so, and this may enhance their experience. You can simply sit back and let the music ‘wash over’ your body and mind without having to concentrate or actively listen at all. Indeed, we often have music playing in the background while we make conversation at dinner or engage in other activities (I have J. S. Bach’s Cello Suites playing in the background as I write today; yesterday it was Bob Dylan). Nevertheless, even such background music has a cognitive and physiological impact: just as we automatically infer a speaker’s thoughts when listening to a spoken utterance, and to some extent come to share those thoughts, so we automatically have emotions aroused within ourselves while listening to music. In fact, music often manipulates our mood.
音乐和语言都具有富有表现力的措辞的品质。这是指两者的声学特性如何 话语和乐句可以被调制以传达强调和情感。47 它可以应用于整个话语或短语，也可以应用于选定的部分。“韵律”一词是指旋律和节奏 口语的性质;当韵律很激烈时，语音听起来很有音乐性。韵律在 针对婴儿的言语;事实上，这些话语是否应该被视为语言 或者因为音乐是有争议的——我将在第 6 章中探讨这种重叠。
Both music and language have the quality of expressive phrasing. This refers to how the acoustic properties of both spoken utterances and musical phrases can be modulated to convey emphasis and emotion.47 It can apply either to a whole utterance or phrase, or to selected parts. The word ‘prosody’ refers to the melodic and rhythmical nature of spoken utterances; when the prosody is intense, speech sounds highly musical. Prosody plays a major role in the speech directed towards infants; indeed, whether the utterances ‘spoken’ to very young babies should be considered as language or as music is contentious – I will explore this overlap in chapter 6.
虽然语言的内容可以用来表达情感，但它从属于韵律。例如，我可以声明 “我感到难过”。然而，仅凭这些词可能没有说服力。如果我在一个非常快乐的时候说'我感到难过' 声音，将优先考虑暗示和推断，即由于某种未知的原因，我是具有讽刺意味的 我声称感到难过。
Although the content of language can be used to express emotion, it is subservient to the prosody. I can, for instance, state that ‘I am feeling sad’. The words alone, however, may be unconvincing. If I say that ‘I am feeling sad’ in a really happy voice, priority will be given to the intimation and the inference drawn that I am, for some unknown reason, being ironic when I claim to be feeling sad.
情感表达对音乐比对语言更重要。如果我听着失去的母亲像歌声一样的哭泣 她的孩子，我更容易体会她的悲伤，而不是简单地告诉我她的孩子已经去世了，她感到心烦意乱。 我很可能被她的挽歌感动得流泪。当然，我可以在 拍摄并体验到同样的同情悲痛，同时知道这位女演员并没有真正经历这样的 完全没有情感。同样，我可以听 CD 上的安魂曲弥撒并感到悲伤，即使我不一定会 将相同的情感归因于音乐家或作曲家，他们可能都早已去世，更不用说 CD 播放器了 音乐从中散发出来。
Emotional expression is more central to music than to language. If I listen to the song-like cry of a mother who has lost her child, I can more easily appreciate her grief than if she simply tells me that her child has died and that she feels distraught. I may well be moved to tears by her dirge. I can, of course, listen to exactly the same song performed by an actress in a film and experience the same feeling of empathetic grief while knowing that the actress is not really experiencing such an emotion at all. Similarly, I can listen to a requiem mass on a CD and come to feel mournful, even though I would not necessarily attribute the same emotions to either the musicians or the composer, all of whom may be long dead, let alone the CD player from which the music emanates.
心理学家罗杰·瓦特 （Roger Watt） 认为，音乐本身就是一个虚拟的人，听众不仅将其归因于情感 状态，但也包括性别和性格特征，例如善或恶。48 约翰·斯洛博达 （John Sloboda） 也提出了类似的建议。他认为，当我们体验音乐时，我们会获得紧张和决心的印象。 期待、成长和衰败。正如他所描述的，这种“动态意识”“包括将音乐作为一种体现来阅读 其他东西......广义上讲，运动中的物理世界，包括非常特殊的运动物体子类， 活的有机体”。49 最明显的例子是如此多的音乐听起来的方式——而且通常是故意创作的和/或 根据声音进行表演 – 就像正在进行人类对话一样。
The psychologist Roger Watt believes that music itself acts as a virtual person to whom listeners attribute not only emotional states but also a gender and personality characteristics such as good or evil.48 John Sloboda has made a similar proposal. He argues that when we experience music we gain an impression of tension and resolution, of anticipation, growth and decay. Such ‘dynamic awareness’, as he describes it, ‘involves reading the music as an embodiment of something else … [which is] broadly, the physical world in motion, including that very special sub-class of moving objects, the living organism’.49 The most obvious example of this is the manner in which so much music sounds – and has often been deliberately composed and/or performed to sound – as if a human conversation is taking place.
音乐非常擅长表达情感和唤起听众的情感——这是流行观念中体现的事实 音乐是“情感的语言”。音乐的情感力量长期以来一直是学术研究的主题，以两本开创性的著作为标志 1950 年代，伦纳德·迈耶 （Leonard Meyer） 的《音乐中的情感与意义》（1956 年）和德里克·库克 （Deryck Cooke） 的《音乐的语言》（1959 年）。50 当 Meyer 解释音乐如何代表情感时，Cooke 提出了普遍的关系 西方调性音乐，介于某些乐句和某些情感之间。最近有很多研究 关于音乐和情感，其中一些将在第 7 章与 Cooke 的建议一起进行研究。
Music is remarkably good at expressing emotion and arousing emotion in its listeners – a fact captured in the popular notion that music is the ‘language of the emotions’. The emotional power of music has long been the subject of academic study, marked by two seminal books of the 1950s, Leonard Meyer’s Emotion and Meaning in Music (1956) and Deryck Cooke’s The Language of Music (1959).50 While Meyer explained how music might represent the emotions, Cooke proposed relationships, which are universal across all Western tonal music, between certain musical phrases and certain emotions. There has been a great deal more recent research on music and emotion, some of which will be examined, along with Cooke’s proposals, in chapter 7.
音乐的这一特征似乎与平克的观点不相容，平克认为音乐只不过是语言的衍生产品，并且 没有生物学价值。我们没有免费或娱乐的情感：它们对人类的思想和行为至关重要，并且有 漫长的进化历史。正如我稍后将探讨的那样，我们的基本情绪——愤怒、喜悦、厌恶和悲伤——很可能是 与我们的灵长类亲戚共享，并且与它们的发声特征密切相关。情感深深交织在一起 与人类认知和生理学的功能有关;它们是身心的控制系统。最不可能的是， 因此，我们最深的情感会如此容易和深刻地被音乐所激起，如果它只不过是一个最近的人 发明。我们的身体也不会，就像我们在聆听时自动开始敲击铃声和脚趾时一样 音乐。事实上，即使我们坐着不动，我们大脑的运动区域也会被音乐激活。51
This feature of music appears incompatible with Pinker’s view that music is no more than a spin-off from language and has no biological value. We don’t have emotions for free or for fun: they are critical to human thought and behaviour, and have a long evolutionary history. As I will explore later, our basic emotions – anger, joy, disgust and sadness – are most probably shared with our primate relatives and are closely related to the character of their vocalizations. Emotions are deeply entwined with the functioning of human cognition and physiology; they are a control system for body and mind. It is most unlikely, therefore, that our deepest emotions would be so easily and profoundly stirred by music if it were no more than a recent human invention. And neither would our bodies, as they are when we automatically begin tapping our ringers and toes while listening to music. In fact, even when we sit still, the motor areas of our brain are activated by music.51
总结：共享的还是独立的进化历史？
Summary: shared or independent evolutionary histories?
音乐和语言是人类社会的普遍特征。它们可以以口头、身体和书面形式表现出来;他们 是分层的组合系统，涉及富有表现力的短语，并依赖于提供递归的规则 并从一组有限的元素生成无限数量的表达式。两种通信系统都涉及手势和 身体运动。在所有这些方面，他们很可能共享道格拉斯·邓普斯特 （Douglas Dempster） 所说的一些“基本认知内容”。
Music and language are universal features of human society. They can be manifest vocally, physically and in writing; they are hierarchical, combinatorial systems which involve expressive phrasing and are reliant on rules that provide recursion and generate an infinite number of expressions from a finite set of elements. Both communication systems involve gesture and body movement. In all of these regards, they may well share what Douglas Dempster calls some ‘basic cognitive stuff’.
然而，差异是深远的。口语传递信息，因为它是由符号构成的，这些符号是给定的 它们的全部含义由语法规则决定;尽管有公式化的短语，但语言话语是组合性的。在 另一方面，音乐短语、手势和肢体语言是整体的：它们的“意义”来自整个短语作为一个单一的短语 实体。口语既是指涉性的，也是操纵性的;一些话语指的是世界上的事物，而另一些话语则使 听者以特定的方式思考和行为。另一方面，音乐主要是操纵性的，因为它会引起情感 状态和物理运动。
Yet the differences are profound. Spoken language transmits information because it is constituted by symbols, which are given their full meaning by grammatical rules; notwithstanding formulaic phrases, linguistic utterances are compositional. On the other hand, musical phrases, gestures and body language are holistic: their ‘meaning’ derives from the whole phrase as a single entity. Spoken language is both referential and manipulative; some utterances refer to things in the world, while others make the hearer think and behave in particular ways. Music, on the other hand, is principally manipulative because it induces emotional states and physical movement by entrainment.
那么，关于音乐和语言之间的关系，这给我们留下了什么呢？音乐只不过是听觉上的芝士蛋糕吗， 就像史蒂文·平克希望我们相信的那样？答案肯定是否定的，因为我在本章中讨论的材料 表明音乐与语言差异太大，无法作为进化的衍生产品进行充分解释。那么，什么是 替代方案？52
So where does this leave us with regard to the relationship between music and language? Is music no more than auditory cheesecake, as Steven Pinker would have us believe? The answer must be probably not, because the material I have discussed in this chapter indicates that music is too different from language to be adequately explained as an evolutionary spin-off. What, then, are the alternatives?52
嗯，这种关系可能与平克所说的恰好相反：语言可能是音乐的衍生物。 这个假设似乎也不太可能，原因完全相同：它没有解释语言的独特属性。 另一种选择是音乐和语言作为完全独立的交流系统相互平行进化。 这也是没有说服力的：虽然音乐和语言有自己独特的属性，但它们仍然共享更多的特征 独立的进化史。
Well, the relationship might be the precise converse to that which Pinker suggests: language might be derivative of music. This hypothesis also appears unlikely, for precisely the same reason: it does not explain the unique properties of language. Another alternative is that music and language evolved in parallel to each other, as completely separate communication systems. This is also unconvincing: while music and language have their own unique properties, they still share more features than independent evolutionary histories.
剩下的可能性是，音乐和语言都有一个前身：一个具有 这些特征现在由音乐和语言共享，但在我们的进化论中的某个日期分裂为两个系统 历史。
The remaining possibility is that there was a single precursor for both music and language: a communication system that had the characteristics that are now shared by music and language, but that split into two systems at some date in our evolutionary history.
在最近的一篇文章中，音乐学家史蒂文·布朗 （Steven Brown） 赞成这种观点，并将单一的前身描述为“音乐语言”。53 他认为这形成了人类祖先使用的一种古代通信系统，尽管他没有提到 》中没有说明他认为“Musilanguage”何时可能存在。根据 Brown 的说法， 在过去某个未指明的日期，“Musilanguage”被分化为两个独立且专门的系统，每个系统 其中获得了额外的独特特性。一个变成了音乐，另一个变成了语言。
In a recent essay, the musicologist Steven Brown favours this view and describes the single precursor as ‘musilanguage’.53 He believes that this formed a type of ancient communication system used by human ancestors, although he makes no reference to human evolution and provides no indication of when he believes that ‘musilanguage’ might have existed. According to Brown, at some unspecified date in the past, ‘musilanguage’ became differentiated into two separate and specialized systems, each of which then acquired additional unique properties. One became music while the other became language.
我相信，史蒂文·布朗 （Steven Brown） 的“音乐语言”概念与 Alison Wray 的整体原始语言概念基本相同。 在我的介绍性章节中提到——音乐学和语言学领域趋同智力进化的一个例子。 从我对他们作品的阅读来看，布朗和雷都没有完全理解他们各自见解的真正意义。 在这本书中，我的任务是揭示这种意义——不仅要解释音乐和语言的起源，还要 提供了我们人类祖先生活和思想的更准确画面。以音乐的单一前身的想法 而语言，事实上，我们确实回到了让-雅克·卢梭 （Jean-Jacques Rousseau） 在 Essai sur l'originie des langues 中的思想，在那里他将第一语言重建为一种歌曲。54
Steven Brown’s notion of ‘musilanguage’ is, I believe, essentially the same as Alison Wray’s notion of holistic proto-language, mentioned in my introductory chapter – an example of convergent intellectual evolution in the fields of musicology and linguistics. From my reading of their work, neither Brown nor Wray has fully appreciated the true significance of their separate insights. It is my task in this book to reveal that significance – not only to explain the origin of music and language, but also to provide a more accurate picture of the life and thought of our human ancestors. With the idea of a single precursor for music and language we do, in fact, return to the ideas of Jean-Jacques Rousseau in the Essai sur l’originie des langues, where he reconstructed the first language as a kind of song.54
“整体原始语言”和“音乐语言”都不是一个用户友好或信息量特别大的术语;事实上，用途 这些术语中的部分词“语言”具有误导性。因此，我将使用另一个术语来指代音乐和语言的唯一前身：“嗯嗯”。这实际上是一个首字母缩略词，其含义将变得很明显为 我的书发展了。我的下一个任务是继续通过另一种方式探索音乐和语言之间的关系。而 比起看人们说什么、唱什么和做什么，现在是时候看看大脑内部发生了什么。
Neither ‘holistic proto-language’ nor ‘musilanguage’ is a user-friendly or particularly informative term; indeed, the use of the part-word ‘language’ within these terms is misleading. So I will use an alternative term to refer to the single precursor to music and language: ‘Hmmmmm’. This is, in fact, an acronym, and its meaning will become apparent as my book develops. My next task is to continue exploring the relationship between music and language by another means. Rather than looking at what people say, sing and do, it is time to look at what is happening within the brain.
3 没有语言的音乐
3 Music without language
大脑、失语症和音乐专家
The brain, aphasia and musical savants
人脑是生物学已知的最复杂的器官，也是宇宙中第二复杂的实体——第一个 成为宇宙本身。人的大脑可以放在一只手的手掌中，具有未煮熟的鸡蛋的稠度。 然而，它包含一千亿个神经细胞，称为神经元。每个神经元都通过触手状连接到许多其他神经元 延伸，称为轴突和树突。来自一个神经元的轴突与来自另一个神经元的树突之间的接触称为 突触。科学家估计大脑内有 10 到 100 万亿个突触——也就是 10 个 然后是 19 个或 20 个 0 – 以及每立方毫米 6 亿个突触。1
The human brain is the most complex organ known to biology and the second most complex entity in the universe – the first being the universe itself. A human brain can be held within the palm of one hand and has the consistency of uncooked egg. And yet it contains a hundred billion nerve cells, called neurons. Each neuron is connected to many other neurons via tentacle-like extensions, known as axons and dendrites. The contact between an axon from one neuron and a dendrite from another is called a synapse. Scientists estimate that there are between ten and one Hundred trillion synapses within the brain – that’s ten followed by either nineteen or twenty zeros – and six hundred million synapses per cubic millimetre.1
当神经元被激活时，它会产生一个电信号，该信号沿着轴突向下传递并触发化学物质的释放 从它的末端，称为神经递质。这扩散穿过称为突触裂隙的间隙，该间隙将轴突分开 来自相邻神经元的树突。该树突具有神经递质的化学受体，当递质 到达它们时，树突被激活，电信号沿着它自己的神经元传播。
When a neuron is activated it generates an electrical signal which passes down its axon and triggers the release of a chemical from its end, known as a neural transmitter. This diffuses across the gap, called the synaptic cleft, that separates the axon from the dendrite of an adjacent neuron. That dendrite has chemical receptors for the neural transmitter, and when the transmitter reaches them the dendrite becomes activated and an electrical signal spreads along its own neuron.
我们之所以能够说话和唱歌，是因为神经元相互连接的方式和大脑活动 它们促进 – 尽管神经元的放电和大脑内化学物质的释放如何成为一种想法或 感觉尚不清楚。与特定活动相关的连接神经元集称为神经网络。关键 我们在这里必须解决的问题是，相同的神经网络是否用于语言和音乐。也许在那里 是部分重叠，也许根本没有重叠。如果存在重叠，那么这些共享的神经网络是否起源于语言， 为了音乐，还是为了其他完全不同的东西？
We are only able to speak and sing because of the manner in which neurons are connected to each other and the brain activity they promote – although quite how the firing of neurons and the release of chemicals within the brain become a thought or a sensation remains unclear. Sets of connected neurons relating to specific activities are termed neural networks. The key question that we must address here is whether the same neural networks are used for language and for music. Perhaps there is a partial overlap, perhaps none at all. If there is an overlap, did those shared neural networks originate for language, for music, or for something else entirely?
大脑内部
Inside the brain
这些神经网络位于大脑皮层，这是大脑最近进化的部分，在人类进化过程中急剧扩张。2 大脑由一套不同的解剖元素组成，所有这些元素都存在于其他哺乳动物中，尽管它们的 相对大小和显著性差异很大。它以大脑为主，大脑分为左、右 大脑半球，具有严重曲折或折叠的表面。褶皱的每个“山丘”被称为 一个回（复数回），每个“谷”都被称为沟（复数沟）。大脑覆盖在柄状脑干上 它将大脑与延伸到全身的中枢神经系统连接起来。
These neural networks are located in the cerebral cortex, the most recently evolved part of the brain, which expanded dramatically during human evolution.2 The brain consists of a suite of distinct anatomical elements, all of which are present in other mammals, although their relative size and significance varies markedly. It is dominated by the cerebrum, which is divided into the left and right cerebral hemispheres, which have heavily convoluted or folded surfaces. Each of the ‘hills’ of the folds is referred to as a gyrus (plural gyri), and each of the ‘valleys’ is called a sulcus (plural sulci). The cerebrum overlies the stalk-like brainstem which connects the brain to the central nervous system, which extends throughout the body.
图 2人脑和小脑的四个叶
Figure 2 The four lobes of the human brain and the cerebellum
两个大脑半球由外层灰质（称为皮层）和内层白色组成 事。灰质很致密，由神经元细胞体——脑细胞组成。它们的轴突通常覆盖着 白色鞘，由一种叫做髓鞘的物质组成，它们是白质的主要成分。约 90% 的大部分人类大脑包含在其外层，称为新皮层;这个词的字面意思是 '新树皮'。该外层厚度在 1.5 到 4 毫米之间，仅由六层细胞组成;然而，因为 它折叠得如此严重，以至于新皮层的表面积很大，它包含 10 到 150 亿个神经元。
The two cerebral hemispheres are composed of an outer layer of grey matter, known as the cortex, and an inner bulk of white matter. The grey matter is dense and consists of neuron cell bodies – the brain cells. Their axons are often covered in a white sheath, composed of a substance called myelin, and they are the main constituent of the white matter. About 90 per cent of the bulk of the human cerebrum is contained in its outer layer, which is called the neocortex; the word literally means ‘new bark’. This outer layer is between 1.5 and 4 millimetres thick and is composed of a mere six layers of cells; yet because it is so heavily folded the surface area of the neocortex is substantial and it contains between ten and fifteen billion neurons.
皮层分为四个区域，称为叶。每个肺叶的特定区域由术语“上级”表示， 'inferior'， 'anterior' 和 'posterior'，指的是它们靠近头骨冠（而不是它们的重要性 在大脑活动中）。最靠近颅骨前部的叶称为额叶，最前（前）的区域 它被称为前额叶皮层。众所周知，这对于规划和解决问题等任务非常重要，这些任务需要集成不同类型的信息。的后部 额叶由大脑的运动区组成，这是控制运动的神经元聚集的地方。
The cortex is divided into four areas known as lobes. Specific regions of each lobe are designated by the terms ‘superior’, ‘inferior’, ‘anterior’ and ‘posterior’, which refer to their proximity to the crown of the skull (rather than to their significance in brain activity). The lobe nearest the front of the skull is called the frontal lobe, and the foremost (anterior) area of it is called the prefrontal cortex. This is known to be important for tasks such as planning and problem-solving – tasks that require the integration of different types of information. The rear (posterior) part of the frontal lobe consists of the motor area of the brain, the place where neurons that control movement are clustered.
图 3 一个神经元细胞，每个神经元细胞都可以与数千个其他神经元连接。
Figure 3 A neuron cell, each of which can be connected with thousands of others.
额叶与较小的顶叶分界，顶叶位于其正后方，由中央裂缝分隔开来，中央裂缝是一个特别的 深沟。顶叶分为大脑的左侧和右侧，包含初级感觉 皮层，它控制触觉等感觉。顶叶依次与颞叶分开，每个颞叶一个 一侧，由另一个称为 Sylvian 裂的深沟。颞叶大约位于 耳朵参与短期记忆，对我们的研究最重要的是，参与听觉刺激的处理。 最后，在大脑的后部，但没有被任何大裂缝划定，是枕叶。这就是大脑 处理视觉信息。
The frontal lobe is demarcated from the smaller parietal lobe, which lies directly behind it, by the central fissure, a particularly deep sulcus. The parietal lobe is divided between the left and right sides of the brain, and contains the primary sensory cortex which controls sensations such as touch. The parietal lobe is in turn separated from the temporal lobes, one on each side of the brain, by another deep sulcus known as the Sylvian fissure. The temporal lobes are found at about the level of the ears and are involved in short-term memory and, of most significance for our study, in the processing of auditory stimuli. Finally, at the rear of the brain, but not demarcated by any major fissure, is the occipital lobe. This is where the brain processes visual information.
研究大脑
Studying the brain
研究大脑有两种主要方式。3 一个是脑成像。自 1970 年代以来，已经可以使用各种方法来研究大脑解剖结构和模式 在执行特定任务时出现的大脑激活。这些方法的名字相当令人生畏：计算机断层扫描 （CT）、正电子发射断层扫描 （PET）、功能性磁共振成像 （fMRI）、脑电图 （EEG） 和脑磁图 （MEG）。尽管这些方法处于科学研究的前沿，但它们的基本原理 都非常简单。CT 就像一张复杂的 X 光片;它记录了大脑在手术中的样子 取出，切成薄片，放在桌子上。PET 可有效测量大脑中的血流，从而识别哪些 大脑的某些部分目前通过利用活跃的神经元需要更多氧气的事实而活跃。fMRI 还测量 血流，但通过利用血红蛋白分子在释放时磁性的微小变化来实现这一点 氧气进入大脑。活跃的神经元还会产生电信号，这些电信号曾经被称为“脑电波”，这些信号提供 脑电图的基础;通过在头皮上放置电极，可以检测到大脑中的位置， 电信号发出。大脑中的这些活动区域也会产生微小的磁场，可以测量 由 MEG 提供。
There are two main ways in which the brain is studied.3 One is brain imaging. Since the 1970s it has been possible to use various methods to study both brain anatomy and the patterns of brain activation that arise when specified tasks are undertaken. The methods have rather daunting names: computerized tomography (CT), positron emission tomography (PET), functional magnetic resonance imagining (fMRI), electroencephalography (EEG), and magnetoencephalography (MEG). Although such methods lie at the cutting edge of scientific research, their underlying principles are quite straight-forward. CT is like a sophisticated X-ray; it records what the brain would look like if it were surgically removed, cut into slices and laid out on a table. PET effectively measures blood flow in the brain and hence identifies which parts of the brain are currently active by making use of the fact that active neurons require more oxygen. fMRI also measures blood flow but does so by exploiting minute changes in the magnetic properties of blood haemoglobin molecules as they release oxygen into the brain. Active neurons also generate electrical signals, which were once termed ‘brainwaves’, and these provide the basis for EEG; by placing electrodes on the scalp it is possible to detect the location within the brain from which the electrical signals are emanating. These active areas in the brain also produce tiny magnetic fields, which can be measured by MEG.
这些方法已经彻底改变了我们对大脑的理解;人们怀疑，进一步的进步很快就会出现 䍬。从他们那里，我们开始详细了解大脑的哪些部分用于哪些活动 – 用于语言、音乐、视觉等。我们也开始了解大脑的可塑性 – 新的神经 网络可以发展以替换那些已经受损的网络，从而恢复大脑失去的功能。
These methods have already revolutionized our understanding of the brain; one suspects that further advances will soon be made. From them we are beginning to acquire a detailed understanding of which parts of the brain are used for which activities – for language, music, vision and so forth. We are also beginning to understand the plasticity of the brain – how new neural networks can develop to replace those that have been damaged and thus restore lost functions to the brain.
不同的功能在某种程度上局限于大脑的不同部分，这一事实已经为人所知 一百年，多亏了脑科学的第二种方法，病变分析。病变是组织的异常破坏 由受伤、中风或疾病产生。如果病变幸存下来——它们通常被证明是致命的——则可以监测什么 感觉、认知或运动活动的类型已经丢失，然后形成关于特定作用的假设 由于病变而变得不活跃的大脑部分。在脑成像时代到来之前，科学家们不得不等待 患者死亡，然后进行尸检以发现病变发生的位置。今天，脑成像技术 可以定位病变，同时使用一系列巧妙设计的实验测试来识别特定的缺陷 已经出现。正是这种病变分析和脑成像的结合，为神经提供了最深刻的见解 音乐和语言的基础。4
The fact that different functions are to some extent localized in different parts of the brain has been known for more than a hundred years, thanks to the second method of brain science, lesion analysis. A lesion is an abnormal disruption of tissue produced by injury, stroke or disease. If the lesion is survived – they often prove fatal – it is possible to monitor what types of sensory, cognitive or motor activities have been lost and then to form hypotheses about the role of the particular part of the brain that has become inactive due to the lesion. Before the days of brain imaging, scientists had to wait for the patient to die and then perform an autopsy in order to discover where the lesion had occurred. Today, brain-imaging techniques can locate the lesion while a battery of cleverly designed experimental tests is used to identify the specific deficit that has arisen. It is this combination of lesion analysis and brain imaging that has provided the greatest insights into the neural bases for music and language.4
病变和语言
Lesions and language
病变分析的首次使用确定了大脑内语言处理的关键位置。保罗·布罗卡 （Paul Broca），出生 1824 年，他是巴黎外科解剖学的杰出教授，也是巴黎人类学学会的秘书 从 1859 年成立到 1880 年去世。1861 年 4 月，他检查了一位名叫 Leborgne 的 51 岁男子，他在临终关怀医院度过了 21 年。这个病人 他也以“Tan”这个名字为人所知，因为这是他似乎唯一能理解对 ligence 所说的一切的词。当 Tan 仅仅六天后，布罗卡就取出了他的大脑，将其储存在酒精中并进行了详细检查。他总结道 Tan 的语言缺陷是由于左大脑半球额叶第三卷积受损引起的 – 此后被称为布罗卡地区。1861 年底，他的结论被提出来，开始了现代调查 语言的生物学基础。今天，Tan 的大脑仍然保存在 Ecole de Medecine 的解剖博物馆中 Paris 以及对病变的进一步研究以及脑成像证实，布罗卡区域确实对 言语的产生。
The very first use of lesion analysis identified a key locality for language processing within the brain. Paul Broca, born in 1824, was a distinguished professor of surgical anatomy in Paris, and secretary of the Anthropological Society of Paris between its establishment in 1859 and his death in 1880. In April 1861 he examined a fifty-one-year-old man, named Leborgne, who had spent twenty-one years in a hospice. This patient was also known by the name ‘Tan’, as this was the only word he appeared to understand all that was said to ligence. When Tan died, a mere six days later, Broca removed his brain, stored it in alcohol and subjected it to detailed examination. He concluded that Tan’s language deficits had arisen from damage to the third convolution of the frontal lobe of the left cerebral hemisphere – henceforth known as Broca’s area. The presentation of his conclusions towards the end of 1861 began the modern investigation of the biological basis of language. Today, Tan’s brain remains preserved in the anatomy museum of the Ecole de Medecine of Paris, and further studies of lesions, as well as brain imaging, have confirmed that Broca’s area is indeed essential for the production of speech.
谭氏的语言缺陷——理解语言但无法说话——被称为布罗卡失语症。第二种 语言缺陷是韦尼克失语症，由 26 岁的神经学家卡尔·韦尼克 （Carl Wernicke） 于 1874 年发现。这是 完全不同：患者能够流利地说话，但他们的话语毫无意义，是各种杂乱无章的单词。 此外，他们无法理解除了最简单的指示之外对他们说的任何话。Wernicke 发现 这种缺陷是由于左大脑半球的一部分受损而引起的，该部分与 Broca 区（上表面）完全分开 左前颞叶 - 现在称为 Wernicke 区。在我们这些语言能力正常的人中，有 必须是 Wernicke 和 Broca 区域之间的神经连接网络，以便我们理解问题，然后做出 适当的口头回应。
Tan’s language deficit – an understanding of language but an inability to speak – is known as Broca’s aphasia. A second type of language deficit is Wernicke’s aphasia, identified in 1874 by Carl Wernicke, a twenty-six-year-old neurologist. This is quite different: sufferers are able to speak fluently but their utterances are meaningless, a jumbled assortment of words. Moreover, they lack comprehension of any words spoken to them beyond the simplest of instructions. Wernicke discovered that this deficit arose from damage to a part of the left cerebral hemisphere quite separate from Broca’s area, the superior surface of the anterior left temporal lobe – now known as Wernicke’s area. In those of us with normal linguistic abilities, there must be a web of neural connections between Wernicke’s and Broca’s areas to allow us to comprehend a question and then make an appropriate verbal response.
病变可以通过多种方式影响语言。有些人的大脑遭受如此广泛的损伤 他们失去了全部的语言能力，他们被称为患有全面失语症。在另一个 量表结束时，有些人会遇到更具体的问题，例如说话时找不到合适的词， 一种被称为异常性失语症的病症。尽管存在这种差异，但随着研究在 19 世纪末和 20 世纪的进展 几个世纪以来，一个一致的发现是语言缺陷源于大脑左半球的病变。所以在 语言神经网络似乎位于大脑的这一部分，最明显的是那些以 Broca 和 Wernicke。然而，这是对一个更复杂的现实的简化，因为我们现在知道语言处理 系统实际上广泛分布在整个大脑中。
There are numerous ways in which lesions can impact on language. Some people suffer such extensive lesions to their brains that they lose the whole of their language abilities, and they are referred to as suffering from global aphasia. At the other end of the scale some experience more specific dif ficulties, such as not being able to find the appropriate words when speaking, a condition known as anomic aphasia. Despite this variability, as research progressed throughout the late nineteenth and twentieth centuries, a consistent finding was that language deficits arose from lesions to the left cerebral hemisphere. So it was within this part of the brain that the neural networks for language appeared to be located, most notably in those areas named after Broca and Wernicke. This, however, is a simplification of a more complex reality, as we now know that the language processing system is in fact widely distributed throughout the brain.
失语症患者的医学案例研究为我们提供了检查神经的绝佳机会 音乐与语言之间的关系。例如，如果音乐“是语言的衍生物，反之亦然，那么音乐能力的丧失应该是语言丧失的自动结果。或者 如果音乐和语言依赖于完全独立的神经网络，那么失去一个应该不会对另一个产生影响。 因此，我们现在转而考虑失语症对音乐能力的影响。
Medical case studies of people who have suffered from aphasia provide us with the perfect opportunity to examine the neural relationships between music and language. If, for example, music ‘was derivative of language, or vice versa, then the loss of musical ability ought to be an automatic consequence of the loss of language. Alternatively, if music and language rely on entirely independent neural networks, then the loss of one should have no impact upon the other. We now turn, therefore, to consider the impact of aphasia on musical ability.
图 4Paul Broca 和 Carl Wernicke 发现的语言区域。
Figure 4 The language areas discovered by Paul Broca and Carl Wernicke.
“出色的创意作品”
‘A brilliant creative work’
我们从一位音乐家开始，他属于 20 世纪作曲家的第一级别，如果不是顶级联赛的话： Vissarion Yakovlevich Shebalin.他出生于 1902 年，在学生时代就创作了他的第一部交响曲，并继续当选 40 岁时成为莫斯科音乐学院的教授，成为许多著名俄罗斯作曲家的导师。他教书 作曲并创作交响曲、钢琴曲和歌剧作品，其中一首在莫斯科大剧院演出 在莫斯科。
We begin with a musician, someone who was in the first division, if not the premier league, of twentieth-century composers: Vissarion Yakovlevich Shebalin. Born in 1902, he composed his first symphony while still a schoolboy and went on to be elected professor of the Moscow Conservatoire at the age of forty, becoming tutor to many well-known Russian composers. He taught composition and wrote symphonies, pieces for the pianoforte and operas, one of which was performed at the Bolshoi Theatre in Moscow.
1953 年，51 岁的 Shebalin 左颞叶轻度中风，右手受损。 他的右脸，打乱了他的言语。Shebalin 在几周内从这些症状中恢复过来，继续 他的工作并发展成为莫斯科音乐学院的院长。然后，在 1959 年 10 月 9 日，他遭受了第二次和 更严重的中风。他失去了知觉 36 小时;当他恢复过来时，他的右侧部分瘫痪了， 他的语言能力几乎完全消失了。在接下来的六个月里，Shebalin 的身体能力恢复了， 但他仍然难以说话和理解对他说的话。在经历了两次癫痫发作后，他 1963 年 5 月 29 日死于第三次中风。在此之前几个月，他完成了他的第五交响曲，由德米特里描述。 肖斯塔科维奇是“一部出色的创意作品，充满了最高的情感，乐观而充满活力”。
In 1953, at the age of fifty-one, Shebalin suffered a mild stroke in his left temporal lobe which impaired his right hand, the right side of his face and disturbed his speech. Shebalin recovered from these symptoms within a few weeks, continued his work and progressed to become director of the Moscow Conservatoire. Then, on 9 October 1959, he suffered a second and more severe stroke. He lost consciousness for thirty-six hours; when he recovered his right side was partially paralysed and his linguistic capabilities had almost entirely disappeared. Shebalin’s physical abilities returned over the next six months, but he continued to have problems talking and understanding what was said to him. After experiencing two epileptic fits, he died from a third stroke on 29 May 1963. A few months prior to that he had completed his fifth symphony, described by Dmitri Shostakovich as ‘a brilliant creative work, filled with highest emotions, optimistic and full of life’.
心理学系的 A. Luria 教授和他的同事在 1965 年的《神经科学杂志》上发表了病例史。5 对他们来说，它提供了证据，证明大脑有完全不同的音乐和语言系统。Shebalin 失语症的程度 虽然他创作了他最后的管弦乐作品，但确实是严肃的。他完全无法重复句子，虽然直截了当 诸如“指向你的鼻子”之类的指令必须重复多次，如果需要，请保持极其简单 任何效果。总的来说，Shebalin 的言语理解能力因中风而受到破坏。他自己的情况也一样糟糕 演讲;当存在两个以上的物体时，他无法造句或命名物体，即使 提示单词的开头。他仍然可以阅读和书写简短的单词，尽管当他疲倦时，即使是这些 对他来说太过分了。
Professor A. Luria and his colleagues from the Department of Psychology case history in the Journal of Neurological Science in 1965.5 To them it provided evidence that the brain has quite separate systems for music and language. The extent of Shebalin’s aphasia while he composed his last orchestral works was indeed severe. He was quite unable to repeat sentences, while straightforward instructions such as ‘point to your nose’ had to be repeated several times and kept extremely simple if they were to have any effect. In general, Shebalin’s ability to comprehend speech had been devastated by his stroke. Just as bad was his own speech; he was left unable to construct sentences or to name objects when there were more than two of them present, even if prompted with the beginnings of the words. He could still read and write short words, although when he was tired even these proved too much for him.
Shebalin 意识到他的困难。卢里亚引用他的话说，“这些话......我真的听到了吗？但我确信......不 如此清晰......我无法理解它们......有时 - 是的......但我无法理解其中的含义。我不知道那是什么。然而，尽管 如此严重的痛苦，Shebalin 继续作曲并通过听他们的作品、分析来教他的学生 并纠正它们。他完成了生病前开始创作的音乐作品，并创作了一系列描述的新作品 与他早年创作的任何东西一样”。事实上，Luria 引用了不少于 11 篇已发表的重要文章 1959 年至 1963 年间，包括奏鸣曲，包括奏鸣曲、四重奏和歌曲，以及肖斯塔科维奇欣赏的第五首。
Shebalin was aware of his difficulties. Luria quotes him as saying, ‘The words … do I really hear them? But I am sure … not so clear … I can’t grasp them … Sometimes – yes … But I can’t grasp the meaning. I don’t know what it is.’ And yet, despite such severe afflictions, Shebalin continued to compose and to teach his pupils by listening to their compositions, analysing and correcting them. He completed musical pieces that he had begun before his illness and created a series of new works described as being equal to anything he had produced in his earlier years’. Indeed, Luria cites no less than eleven major pieces published between 1959 and 1963, including sonatas, including sonatas, quartets and songs, in addition to that fifth admired by Shostakovich.
“咒语赞美谁”
‘For whom the spell extols’
有人可能会说，像 Shebalin 这样的专业音乐家在人类中是相当不典型的。花费的大量时间 听音乐、演奏音乐和作曲，尤其是在童年时期，可能导致神经网络的发展 致力于否则将完全不存在的音乐。事实上，众所周知，大脑的左颞部平面区域 位于颞上后回，音乐家比非音乐家大。6 不过，在 12 岁之前接受训练的音乐家通常记忆力较佳 对于口语来说，这比非音乐家的要多，这使得 Shebalin 失去的语言测量能力更加引人注目。7 然而，对于我们这些非音乐家来说，“音乐如芝士蛋糕”理论可能仍然是正确的：我们的音乐能力 可能只是依赖于为语言进化而来的神经回路。
One could argue that professional musicians such as Shebalin are quite untypical of humankind. The vast number of hours spent listening to, playing and composing music, especially during childhood, might have led to the development of neural networks devoted to music that would otherwise be quite absent. Indeed, it is known that the left planum temporale region of the brain, located in the posterior superior temporal gyrus, is larger in musicians than in non-musicians.6 It is also the case, however, that musicians who received training before the age of twelve generally have a better memory for spoken words than non-musicians, which makes Shebalin’s loss of lan guage abilities even more striking.7 Nevertheless, for those of us who are non-musicians the ‘music as cheesecake’ theory might still be correct our musical abilities may simply be dependent upon neural circuits that evolved for language.
有鉴于此，NS 的情况（顺便说一句，通常的做法是用内科病人的姓名首字母来指代他们 Alone）的作者，一位 68 岁的男性中风患者，尤其有趣。8 他的中风是在心脏手术期间接受麻醉时发生的。当他醒来时，他无法理解什么人 说，并解释说他们似乎“说得太快或说中文”。然而，他自己的言语并没有受到影响 而且他仍然会读和写。MRI 显示沿颞上部的右侧颞顶区有病变 脑回。
In this light, the case of NS (it is, by the way, usual practice for medical patients to be referred to by their initials alone), a sixty-eight-year-old male stroke victim, is particularly interesting.8 His stroke occurred while under anaesthetic during heart surgery. When he awoke, he was unable to understand what people were saying, explaining that they seemed to be ‘speaking too fast or in Chinese’. His own speech, however, had not been affected and he could still read and write. MRI indicated a lesion in the right temporoparietal region along the superior temporal gyrus.
NS 无法理解言语是严重且永久性的。他的妻子只好给他写笔记，因为他做不到 跟随她的谈话;很快，他就依赖写作进行所有交流。中风 12 年后，他经历了 加利福尼亚大学神经病学和精神病学系 Mario Mendez 教授的正式考试， 洛杉矶。NS 非常健谈，但完全无法理解简单的口头请求，例如“触摸你的下巴”，尽管 当它们被写下来时，他立即就能理解了。他可以重复单个单词，但在短语上很挣扎。为 例如，“FOR WHO THE SPELL EXTOLS”是他重复“FOR WHO THE BELL TOLLS”的最大努力。
NS’s inability to comprehend speech was severe and permanent. His wife resorted to writing him notes because he could not follow her conversation; very soon he was reliant on writing for all communication. Twelve years after his stroke he underwent formal examination by Professor Mario Mendez of the Department of Neurology and Psychiatry at the University of California, Los Angeles. NS was highly talkative but quite unable to understand simple spoken requests such as ‘touch your chin’, although he could immediately understand when they were written down. He could repeat single words but struggled with phrases. For example, ‘for whom the spell extols’ was his best effort at repeating ‘for whom the bell tolls’.
更复杂的是，NS 也失去了识别环境声音的能力——那些我们凭直觉可以识别的声音 认为缺乏任何音乐品质。9 这些都变得模糊不清，难以理解，以致他把闹钟误认为是打鼾的人，是火 教堂钟声的发动机，或儿童游乐场的合唱团。面对这样的困难，NS 的生活质量已经严重恶化 拒绝。但一些补偿即将到来：他对音乐的欣赏能力得到了提高。在他中风之前，音乐 他对这并不感兴趣，但在中风和门德斯检查之间的十二年里，NS 和他的妻子已经变得 热衷于参加音乐会和其他音乐表演。事实上，听音乐已经成为 NS 的主要活动。在 他对 Mendez 的采访中，他经常闯入歌曲来支持他新发现的对音乐的热爱。
An added complication was that NS had also lost his ability to identify environmental sounds – those that we would intuitively think of as lacking any musical qualities.9 These had become indistinct and difficult to understand, so that he would mistake an alarm clock for a man snoring, a fire engine for church bells, or a choir for a children’s playground. With such difficulties, NS’s quality of life had seriously declined. But some compensation was forthcoming: his appreciation of music had been enhanced. Before his stroke music had been of little interest to him, but in the twelve years between the stroke and Mendez’s examination NS and his wife had become avid attenders of concerts and other musical performances. In fact, listening to music had become NS’s main activity. During his interviews with Mendez, he often broke into song to endorse his new-found love of music.
虽然 NS 已经失去了理解简单短语和环境噪音的能力，但他仍然可以识别旋律。什么时候 要求他找出十首常见的旋律，如《生日快乐》、《Auld Lang Syne》和圣诞颂歌《平安夜》等。 他经常把名字弄错，但能够把它们全部唱出来，并指出说明适当设置的图片 旋律。同样，他能够区分不同的节奏;他可以确定 播放的示例是相同或不同的。他也非常能够哼唱这些节奏并在桌子上敲击它们。
While NS had lost his ability to understand simple phrases and environmental noises, he could still recognize melodies. When asked to identify ten common melodies, such as ‘Happy Birthday’, ‘Auld Lang Syne’ and the Christmas carol ‘Silent Night’, he often got the names wrong but was able to sing them all and to point to pictures illustrating the appropriate settings for the melodies. Similarly, he was able to discriminate between different rhythms; he could identify whether successively played examples were the same or different. He was also quite able to hum the rhythms and tap them out on a table.
NS 是一个特别有趣的案例，原因有几个。首先，他从小就接触音乐 有限。它肯定不比普通人多一点，也许少一点，所以没有理由 假设他会在大脑中发展出异常特殊的音乐回路，这些回路可能在失去语言后保留了音乐能力。其次，他的感激之情 当他对语言和环境声音的听觉能力变得严重时，他的音乐似乎实际上得到了增强 被打乱了。第三，虽然右侧颞部病变经常被记录为损害了理解环境的能力 听起来，NS 是第一个报告这也导致言语失语症的病例。与绝大多数人不同， 他一定依赖于右半球而不是左半球的语言神经通路。但不管怎样 神经回路已经受损，这些神经回路显然与用于识别旋律和节奏的神经回路完全分开。
NS’s is a particularly interesting case for several reasons. First, his exposure to music as a child and young man had been limited. It had certainly been no more, and perhaps a little less, than that of the average person, so there is no reason to suppose that he would have developed unusually specialized musical circuits in his brain which might have preserved musical ability after the loss of language. Secondly his appreciation of music appears actually to have been enhanced when his auditory capacities for speech and environmental sounds became severely disrupted.’ Thirdly, while a right temporal lesion has often been recorded as impairing the ability to comprehend environmental sounds, NS’s was the first reported case in which this had also caused speech aphasia. Unlike the vast majority of people, he must have been reliant on a neural pathway for language in the right rather than the left cerebral hemisphere. But whatever neural circuits had been damaged, these had evidently been quite separate from those used for recognizing melody and rhythm.
环境声音、外语和韵律
Environmental sounds, foreign languages and prosody
Shebalin 和 NS 的病例历史不常见，但并非独一无二，正如下面的研究将说明的那样。这些介绍了一对 额外的复杂因素：外语和韵律。
Shebalin’s and NS’s case histories are unusual but not unique, as the next studies will illustrate. These introduce a couple of extra complicating factors: foreign languages and prosody.
NS 已经失去了识别环境声音的能力，例如铃声和狗吠声;这是否也是 Shebalin 的病例没有报告。对于以下研究中的三个人来说，情况并非如此，尽管他们并非如此 与 NS 相似，在脑损伤后保留了音乐和抑制的语言能力。他们关注的是母语人士 分别是法语、阿拉伯语和日语，他们能够识别除 在他们的痛苦之后拥有。他们在处理句子韵律、识别情感的能力方面也各不相同 情绪，并根据特定 的话。在科学文献中，没有一个受试者的名字或首字母被确定。
NS had lost his capacity to identify environmental sounds such as ringing bells and barking dogs; whether this was also the case for Shebalin was not reported. It was not so for the three people in the following studies, although they were otherwise similar to NS in having preserved musical and inhibited language abilities following brain damage. They concern native speakers of French, Arabic and Japanese respectively, who varied in the extent to which they could recognize languages other than their own after their affliction. They also varied in their abilities to process the prosody of sentences, to identify their emotional moods, and to distinguish whether they were questions, exclamations or statements on the basis of the intonation of particular words. None of the subjects has been identified by either name or initials in the scientific literature.
1980 年 9 月 16 日，一名 24 岁的女性被收治在斯特拉斯堡的 Clinique Neurologique of the Hospices Civils 在突然出现语言困难之后。10 她的言语变得乱七八糟，虽然她能单独读出唇语，但她完全无法听懂别人的说话 单词，并且仍然能够阅读简单的句子。几天之内，她的说话、阅读和写作能力几乎恢复了 恢复正常，但她仍然无法理解语言。11
On 16 September 1980, a twenty-four-year-old woman was admitted to the Clinique Neurologique of the Hospices Civils in Strasbourg following the sudden onset of difficulties with language.10 Her speech had become garbled and she was quite unable to understand that of others, although she could lip-read isolated words and remained able to read simple sentences. Within a few days her abilities to speak, read and write returned almost to normal, but her inability to understand speech persisted.11
在该妇女入院后的一周内，Marie-Noelle Metz-Lutz 和 Evelyne Dahl 医生检查了她的听觉能力。 事实证明，她能够识别非语言声音，将每个磁带录制的声音与适当的图片正确关联起来。 她还能够从乐器的声音中识别出乐器，并识别熟悉的旋律。她的成功更大 当旋律被哼唱而不是唱出来时，这表明这些词阻碍了她的识别。但她的音乐能力的一个方面受到了特别大的影响，那就是节奏。什么时候 她要求用铅笔在桌子上敲击，她只能模仿非常简单和短促的节奏。12
During the week after the woman’s admission, Drs Marie-Noelle Metz-Lutz and Evelyne Dahl examined her auditory abilities. She proved quite able to recognize non-verbal sounds, correctly associating each tape-recorded sound with an appropriate picture. She was also able to recognize musical instruments from their sounds and to identify familiar melodies. Her success was greater when the melodies were hummed rather than sung, suggesting that the words hindered her recognition. But one aspect of her musical abilities was particularly affected, that of rhythm. When asked to tap a pencil against the table, she could only imitate very simple and short rhythms.12
这位患者的语言缺陷显示出一个有趣的模式。虽然她已经无法理解文字了——但她完全 word-deaf – 她的一些语言处理能力仍然存在。当被要求确定 20 个短句中的每一个是否 她会用法语（她的母语）、德语、英语或西班牙语说，但她在任何情况下都毫不犹豫地正确地做到了。 她能够根据语调识别出一个句子是作为疑问、陈述还是感叹， 即使她无法理解这句话本身。她可以区分无意义的词语和真实的词语，尽管 她发现前者更难重复，相比之下，她只能正确地重复 50 个无意义单词中的 12 个 到 50 个真实单词中的 36 个。
This patient’s language deficits showed an interesting pattern. Although she could no longer understand words – she was completely word-deaf – some of her language-processing abilities remained. When asked to identify whether each of twenty short sentences had been spoken in French (her native language), German, English or Spanish, she did so correctly in every case, without hesitation. She was able to identify on the basis of intonation whether a sentence had been spoken as a question, a statement or an exclamation, even though she could not understand the sentence itself. She could discriminate nonsense words from real words, although she found the former much more difficult to repeat, only correctly repeating twelve out of fifty nonsense words in contrast to thirty-six out of fifty real words.
Metz-Lutz 和 Dahl 博士解释了患者在面对完整的 单词失聪，由她的大脑病变位于左大脑半球。脑电图表明，前部和 颞叶中叶的功能受损，而在患者困难出现一年后进行 CT 扫描 提示左侧颞叶密度低下和大脑左中动脉血管病变。语调的处理， Metz-Lutz 和 Dahl 认为，它发生在右大脑半球，因此没有受到抑制。她对 外语可能与单词本身一样依赖于语言的典型语调。右 他们认为，半球还必须能够进行“词汇决定”——即区分单词和非单词。
Drs Metz-Lutz and Dahl explained the patient’s particular suite of retained and lost language abilities in the face of complete word-deafness by the location of her brain lesion in the left cerebral hemisphere. EEG had suggested that the anterior and middle temporal lobe was impaired in its function, while a CT scan made one year after the onset of the patient’s difficulties indicated left temporal hypodensity and a vascular lesion in the left middle cerebral artery. The processing of intonation, Metz-Lutz and Dahl argued, takes place in the right cerebral hemisphere and was therefore not inhibited. Her recognition of foreign languages may have relied as much on the typical intonation of the language as on the words themselves. The right hemisphere must also, they argued, be able to undertake ‘lexical decisions’ – that is, discriminating between words and non-words.
下一个病例是由沙特阿拉伯利雅得哈立德国王大学医院的 Basim Yaqub 报告的。13 一名 38 岁讲阿拉伯语的叙利亚男性被收治到冠心病监护病房。脑部扫描显示 左大脑半球，位于颞上回后，右侧大脑有更广泛的病变 半球，位于后上回和中颞回。
The next case was reported by Basim Yaqub of the King Khalid University Hospital in Riyadh, Saudi Arabia.13 A thirty-eight-year-old Arabic-speaking Syrian male was admitted to the coronary care unit. Brain scans showed a lesion in the left cerebral hemisphere, in the posterior superior temporal gyrus, and a more extensive lesion in the right cerebral hemisphere, in the posterior superior and midtemporal gyrus.
入院后的第三天，人们注意到他无法对口头命令做出适当的反应，尽管他自己 说话流利而明智。他解释说他得了重感冒，这影响了他的听力。然而，当被问到 问题，他的回答在语法上是正确的，但完全无关紧要。Yaqub 和他的同事正式测试了这名男子的 语言，发现他已经完全失去了理解语言的能力。
On the third day after admission, it was noticed that he could not respond appropriately to verbal commands, although he himself spoke fluently and sensibly. He explained that he had a bad cold, which was interfering with his hearing. However, when asked questions, his answers were grammatically correct but entirely irrelevant. Yaqub and his colleagues formally tested the man’s language and found that he had entirely lost his ability to comprehend speech.
与上述法国女人不同，这个阿拉伯男人不再能够区分自己的口语和其他口语 语言，他也分不清说出的是真实的词还是只是荒谬的音节集合。但语言的所有其他元素 保持完整;他不仅能说流利的话，还能读和写他对语调和韵律的欣赏。 保持完整;虽然他无法理解它的含义，但他能分辨出一个句子是否是一个问题， 命令或感叹号。他能识别出某人的声音是情绪中立的、快乐的还是愤怒的。他可以 区分笑和哭。
Unlike the Frenchwoman described above, this Arabic man was no longer able to discriminate between his own and other spoken languages, nor could he tell whether a real word had been uttered or just a nonsensical collection of syllables. But all other elements of language remained intact; he could not only speak fluently but also read and write His appreciation of intonation and prosody, too, remained intact; although he could not understand its meaning, he could tell whether a sentence had been delivered as a question, a command or an exclamation. He could recognize when someone’s voice was emotionally neutral, happy or angry. And he could discriminate between laughing and crying.
该男子仍然能够识别非语言声音，例如钥匙叮当声、电话铃声、沙沙作响的纸张或动物 调用。他可以识别不同乐器的声音，并且擅长识别旋律和歌曲，尽管 当然，他无法理解歌词。他还能够识别语音元音。100 个阿拉伯元音 对他进行了刺激，每次刺激后，他都被要求指着卡片上的字母;他的正确率是 97%。只 当它们以越来越复杂的方式组合在一起，他必须推断它们的含义时，他理解它们的能力也就开始了 受损。
The man remained able to recognize non-verbal sounds, such as a key jingling, a telephone ringing, rustling paper or animal calls. He could identify the sounds of different musical instruments and was adept at recognizing melodies and songs, although he was, of course, unable to understand the lyrics. He was also still able to identify spoken vowels. One hundred Arabic vowel stimuli were spoken to him and after each he was asked to point to the letter on a card; he scored 97 per cent correct. Only when they were combined in increasingly complex ways and he had to infer their meaning did his ability to comprehend them become impaired.
第三个案例是一名 55 岁的日语男子。他被送往 in 的千叶紧急医疗中心 1982 年 10 月 17 日，日本帝京，在严重头痛发作后。14 他没有完全清醒，患有全面失语症——完全失去了语言能力。他受过苦 血肿对他的左大脑半球造成了损害，特别是左丘脑和白质 左颞叶和顶叶。
The third case is of a fifty-five-year-old Japanese-speaking man. He was admitted to the Chiba Emergency Medical Centre, in Teikyo, Japan, on 17 October 1982, following the onset of a severe headache.14 He was not fully conscious and was suffering from global aphasia – a complete loss of his capacity for language. He had suffered a haematoma which had caused damage to his left cerebral hemisphere, specifically in the left thalamus and the white matter of the left temporal and parietal lobes.
完全恢复了意识，该男子恢复了说话的能力，流利、正常的速度和语调。 他也能毫无困难地阅读和写作。但他也完全失去了理解他人的能力 谚语。
Full consciousness returned and the man regained his ability to speak, which was fluent, with normal speed and intonation. He could also read and write without difficulty. But he, too, had entirely lost his ability to understand what others were saying.
当由 Nobuyoshi Takahashi 教授领导的团队进行检查时，发现该男子能够区分 语音和其他环境声音，并识别句子中的单词数和音节数 词。当有人慢慢地对他说话时，或者当这些话被重复时，他会得到一点理解，当 他开始读唇语。与法国女人或阿拉伯男人不同，这个日本男人不仅失去了理解能力 单词的含义以及他欣赏韵律的能力。当被要求识别 14 个短句的情绪时 他在每一次事件中都失败了。
When a team led by Professor Nobuyoshi Takahashi undertook an examination, the man was found to be able to discriminate between speech and other environmental sounds, and to identify the number of words in a sentence and the number of syllables in a Word. When he was spoken to slowly, or when the words were repeated, he gained a little understanding, and this improved when he began to lip-read. Unlike the Frenchwoman or the Arabic man, this Japanese man had lost not only the ability to understand the meaning of words but also his ability to appreciate prosody. When asked to identify the mood of fourteen short sentences he failed in every case.
他在环境声音识别测试中获得了满分，并且还能够识别人声。同样地 他的音乐能力似乎很正常，除了他对节奏的欣赏可能例外。虽然他没有遇到任何困难 区分音高和旋律，识别旋律，欣赏一首音乐的情绪，或识别 播放后，他能够识别两个连续演奏的节奏是相同还是不同，只有一个 out 四次尝试。15
He scored full marks in tests of environmental sound recognition and was also quite able to identify human voices. Similarly, his musical abilities appeared quite normal, with the possible exception of his appreciation of rhythm. While he had no difficulties discriminating between pitches and melodies, identifying melodies, appreciating the mood of a piece of music, or recognizing the kinds of instruments on which it was played, he was able to identify whether two consecutively played rhythms were the same or different in only one out of four attempts.15
音乐、语言和环境声音识别的差异恢复率
Differential recovery rates for musical, verbal and environmental sound recognition
NS 和法国、叙利亚和日本患者都遭受了导致语言处理能力丧失的病变，但 保持音乐能力。然而，它们在处理环境的剩余能力方面有所不同 声音、外语和韵律。我们还看到，一些语言能力可以回归。这必须发生 因为新的神经网络是为了替换那些已经损坏的神经网络而形成的，或者因为现有网络具有新的功能。 我们的下一个案例研究是这种恢复的一个有趣例子。
NS and the French, Syrian and Japanese patients all suffered lesions that led to loss of language-processing abilities but preservation of musical abilities. They varied, however, with regard to their remaining capacity to process environmental sounds, foreign languages and prosody. We have also seen that some language abilities can return. This must happen either because new neural networks are formed to replace those that have been damaged or because existing networks take on new functions. Our next case study is an interesting example of such recovery.
实验对象是一位 58 岁的讲法语的女性，她患有中风，Olivier 报告了她的病例 1995 年，里尔大学神经病学系的 Godefroy 和他的同事们。16 这位女士最初经历了轻微的右侧感觉丧失;24 小时后，同样的弱点发生了 在她的左侧。救护车被叫来了，当她被送往医院时，她进入了一个完全寂静的世界; 她已经完全失聪了。人们的嘴唇动作让人们对她所说的话有所理解，但她很快就明白了 开始让他们写下他们的问题。脑部 CT 和 PET 扫描显示 2 处深出血，1 处在 大脑，在颞叶内。这些导致了完全的耳聋——但不是完全失语，因为她仍然很安静 能够说话和阅读。
The subject was a fifty-eight-year-old French-speaking woman who suffered a stroke and whose case was reported by Olivier Godefroy and his colleagues from the Department of Neurology, University of Lille, in 1995.16 This woman had initially experienced a mild right-sided sensory loss; twenty-four hours later the same weakness occurred on her left side. An ambulance was called and while she was being taken to hospital she entered an entirely silent world; she had become totally deaf. People’s lip movements provided some understanding of what was being said to her, but she soon began asking them to write down their questions. CT and PET brain scans showed two deep haemorrhages, one on either side of the brain, within the temporal lobes. These had caused complete deafness – but not complete aphasia, as she was still quite able to speak and read.
两周内，她的听力恢复了，但她抱怨声音仍然难以识别。医疗团队 进行了一系列测试，以检查这是否适用于所有声音或仅适用于特定类型的声音。已建立 她的一般智力和记忆能力是正常的，他们评估了她识别环境的准确性和 音乐声音和语音与 7 个健康对照的音乐声音和语音对比。针对环境噪声识别测试，一系列 播放了 48 种声音，要求患者和对照组将这些声音与图纸相匹配。音乐识别测试 涉及确定 33 首知名曲调。语音测试需要听完整 34 对辅音元音 耳机被重复，然后与 34 个书面音节匹配。定期重复测试 在患者的听力恢复后，他们表明在两个月内她就与对照组一样有能力识别 所有三种类型的声音。但不同的能力并没有都以相同的速度回归。
Within two weeks her hearing had returned, but she complained that sounds remained difficult to identify. The medical team undertook a series of tests to examine whether this applied to all sounds or just to those of a particular type. Having established that her general intellectual and memory abilities were normal, they evaluated her accuracy at identifying environmental and musical sounds and speech against that of seven healthy controls. For the environmental noise recognition test, a series of forty-eight sounds were played, which the patient and controls were asked to match to drawings. The music recognition test involved identifying thirty-three well-known tunes. The speech test required thirty-four consonant-vowel pairs heard through headphones to be repeated and then matched with thirty-four written syllables. The tests were repeated at regular intervals after the patient’s hearing had returned, and they showed that within two months she was as competent as the controls at identifying all three types of sounds. But the different abilities had not all returned at the same rate.
在听力恢复后的第 8 天进行测试时，患者仍然无法识别环境和 语音，正确率分别仅为 11% 和 21%，而平均分分别为 88% 和 95% 控制品的美分（标准差分别为 3.1% 和 4.5%）。她识别音乐旋律的能力 稍好一些，正确率为 21%，而平均对照分数为 49%（标准 偏差 11%）。十天后，她的病情全面好转;她的环境和语言识别能力 仍然严重受损（48% 和 32% 的正确回答），但她的音乐识别能力已恢复正常（64 % 的旋律被正确识别）。直到她的听力恢复后的第六十天，她的 识别环境噪音和语音的能力与对照组相当。
When tested on the eighth day after her hearing had returned, the patient was still unable to recognize environmental and speech sounds, achieving correct scores of only 11 and 21 per cent respectively, compared with an average of 88 and 95 per cent for the controls (with standard deviations of 3.1 and 4.5 per cent respectively). Her ability to recognize musical melody was a little better, with 21 per cent correct responses, while the average control score was 49 per cent (with a standard deviation of 11 per cent). Ten days later she had improved across the board; her environmental and speech recognition were still significantly impaired (48 and 32 per cent correct responses), but her music recognition had returned to normal (64 per cent of the melodies identified correctly). It was not until the sixtieth day after her hearing had returned that her abilities at recognizing environmental noises and speech were equivalent to those of the controls.
Eddie 和其他音乐专家
Eddie and other musical savants
Shebalin、NS 和上述其他主题的情况表明了语言能力和音乐能力之间的明显分离 在大脑中，以及语言能力本身的某种程度的划分。但它们也暗示了一些领域 的重叠。毫无疑问，我们正在处理一个极其复杂的问题，不应期望有任何简单的答案。
The cases of Shebalin, NS and the other subjects described above show a clear separation between linguistic and musical capacities in the brain, as well as some degree of partitioning within the linguistic capacity itself. But they also hint at some areas of overlap. We are unquestionably dealing with an immensely complex issue and should not expect there to be any simple answers.
另一个复杂的因素是，这些案例研究涉及的是成熟的成年人。虽然音乐可能具有一定的独立性 从成人大脑中的语言来看，它可能需要语言网络来发展童年。已经 建立在语言神经网络之上，音乐神经网络以后可能会变得独立，然后在网络 因为语言被脑损伤所破坏。如果是这样，音乐是语言衍生物的想法将保持不变。
One further complicating factor is that these case studies have dealt with mature adults. While music may have some independence from language within an adult brain, it may have required the language networks for its development in childhood. Having been built on those for language, the neural networks for music might later become independent and then survive when the networks for language are destroyed by brain damage. If so, the idea that music is derivative of language would remain intact.
所谓的“音乐专家”与这种说法相矛盾，因为他们的音乐能力是在没有语言的情况下发展起来的，或者 至少是构成语言的完整能力包。17 正如以下案例历史所说明的，所有音乐专家似乎都对声音非常敏感，并欣赏声音如何 声音可以组合成序列，就像在语音中一样。这种能力对语言来说确实是必不可少的，但确实有 没有必要的理由假设它们是为了语言而不是感知环境声音而进化的，或者说， 音乐本身。
So-called ‘musical savants’ contradict such claims because their musical abilities develop in the absence of language, or at least the complete package of abilities that constitute language.17 As the following case histories illustrate, all musical savants appear to be very sensitive to sound and to appreciate how sounds can be combined together into sequences, as in speech. Such abilities are indeed essential to language, but there is no necessary reason to suppose that they evolved for language rather than for perceiving environmental sounds or, indeed, music itself.
我将重点介绍一位名叫 Eddie 的音乐专家，心理学家 Leon Miller 讲述了他的案例历史 在伊利诺伊大学专攻儿童残疾。1985 年，米勒应一所走读学校的一位老师的邀请 让多重残疾人士遇到了 Eddie，一个刚开始上学的 5 岁男孩，他的钢琴弹得出奇的好。18 埃迪看起来是一个脆弱的孩子，瘦骨嶙峋，身材娇小;他的讲话是回声的——当与他交谈时，他会经常这样做 只需重复他所听到的。他戴着厚厚的眼镜，双脚张开，走路犹豫不决，但当老师提到 “钢琴”这个词，Eddie 兴奋地笑了笑，然后有目的地去了音乐室。他爬上凳子，找到了钥匙 然后开始玩耍，他的头向后仰向天花板，脸上露出意味深长的表情。
I will focus on one particular musical savant known as Eddie, whose case history has been recounted by Leon Miller, a psychologist specializing in childhood disability at the University of Illinois. In 1985, Miller was invited by a teacher at a day school for the multiply handicapped to meet Eddie, a five-year-old boy who had just begun attending the school and was able to play the piano surprisingly well.18 Eddie appeared as a fragile child, bony, thin and small for his age; his speech was echolalic – when spoken to he would frequently simply repeat what he had heard. He wore thick glasses and walked hesitantly with his feet splayed, but when the teacher mentioned the word ‘piano’, Eddie smiled excitedly and went purposefully to the music room. He climbed onto the stool, found the keys and began to play, his head tilted back at the ceiling with an intent expression on his face.
埃迪演奏了圣诞颂歌《寂静的夜晚》，米勒印象深刻：旋律清晰，节奏恰到好处 贝斯中有一个漂亮的滚动破碎和弦数字。虽然 Eddie 拿铅笔有困难，但他的手 在家里的键盘上。由于他每只手的第四根和第五根手指都很虚弱，他用其他手指支撑着这些手指，所以 他可以牢牢地敲击琴键。当他的演讲结束时，米勒和老师热情地鼓掌。艾迪 赞赏地笑了笑。
Eddie played the Christmas carol ‘Silent Night’ and Miller was impressed: the melody was well articulated, the tempo appropriate and there was a nice rolling broken chord figure in the bass. Although Eddie had difficulty holding a pencil, his hands were at home on the keyboard. As his fourth and fifth fingers on each hand were weak, he supported these with other fingers so that he could strike the keys firmly. When his rendition was finished, Miller and the teacher clapped enthusiastically. Eddie smiled in appreciation.
这是米勒与埃迪的第一次相遇，他后来将其描述为“出乎意料且具有戏剧性”。在他的下一次访问中， 他测试了 Eddie 的音乐能力，怀疑他可能只是通过强化练习学会了《Silent Night》。磨坊主 演奏了 'Twinkle， Twinkle， Little Star'，这是 Eddie 熟悉的旋律。但是，与其在 C 调中演奏它， 米勒演奏了 G、降 A 和升 F 调。在每一次比赛中，Eddie 都被要求自己尝试旋律，他的演奏反映了这一点 毫不犹豫地移调到新调。在 Miller 再次用 C 调演奏了“Twinkle， Twinkle”之后， Eddie 不再满足于仅仅重复这段旋律。相反，他添加了几个左手和弦并对这首曲子进行了移调 变成一个小调，在其和声结构中有几个意想不到的调制，使用小三度而不是大三度 的原件。实际上，Eddie 是一个五岁的男孩，有严重的视力、听力和学习困难，几乎没有 任何语言能力以及身体发育不全和残疾——都产生了这首曲子的全新版本。
This was Miller’s first encounter with Eddie, one that he later described as ‘unexpected and dramatic’. On his next visit, he tested Eddie’s musical abilities, suspecting that he might simply have learnt ‘Silent Night’ by intensive practice. Miller played ‘Twinkle, Twinkle, Little Star’, a melody with which Eddie was familiar. But rather than playing it in the key of C, Miller played it in G, A flat and F sharp. In each case Eddie was asked to try the melody on his own, and his playing reflected the transposition to the new key with no hesitation. After Miller had once again played ‘Twinkle, Twinkle’ in the key of C, Eddie was no longer content just to repeat the melody. Instead, he added several left-hand chords and transposed the piece into a minor key with several unexpected modulations in its harmonic structure, using minor thirds rather than the major thirds of the original. In effect, Eddie – a five-year-old boy with severe sight, hearing and learning difficulties, who had hardly any linguistic abilities and was physically underdeveloped and disabled – had generated an entirely new version of the piece.
米勒花了几年时间研究埃迪，并在他 1989 年的书中发表了关于这个了不起的孩子的描述，题为《音乐专家：智力低下的特殊技能》。这个副标题不仅适用于 Eddie，也适用于 Miller 描述并试图理解的其他一些孩子。 其中之一是托马斯·威金斯，也被称为“盲人汤姆”，他是已知最早的音乐专家案例。他是 1849 年在美国南部的一个种植园出生，是一名奴隶。他从出生起就失明，对声音特别敏感 大自然的呼唤，准确地模仿动物和鸟类的叫声。四岁时，他已经在钢琴上挑选旋律了 在种植园主的房子里;八岁时，他开始举办音乐会，十岁时他在南方巡回演出。一个长 随后，他的表演生涯遍及美国和欧洲。汤姆拥有广泛的曲目，包括他自己的作品和才华 这与当时的其他音乐会钢琴家进行了比较。
Miller spent several years studying Eddie and published an account of this remarkable child in his 1989 book entitled Musical Savants: Exceptional Skill in the Mentally Retarded. The subtitle was appropriate not only for Eddie but for a number of other children that Miller described and tried to understand. One of these was Thomas Wiggins, otherwise known as ‘Blind Tom’, who was the earliest known case of a musical savant. He was born a slave on a plantation in the American South in 1849. Blind from birth, he was exceptionally sensitive to the sounds of nature, accurately imitating the calls of animals and birds. By the age of four he was picking out melodies on the piano in the house of the plantation owner; by the age of eight he was giving concerts and by ten he was touring the South. A long performing career followed, throughout the USA and in Europe. Tom had an extensive repertoire, including his own compositions, and a talent that has been compared to that of other concert pianists of the period.
汤姆非凡的音乐天赋伴随着严重的精神缺陷。他在台下有那种肢体举止 这些通常与自闭症有关，例如快速弹动手指、冷酷的 ACE、身体旋转和摇晃。 他最早的演讲和埃迪一样，是回声的。长大后，他显然会用难以理解的行话自言自语 他与他人的对话是极少的单音节的。
Tom’s exceptional musical talent was accompanied by severe mental deficits. He had the type of physical mannerisms offstage that are often associated with autistic disorders, such as rapid flicking of his fingers, grim-aces, body twirling and rocking. His earliest speech was, like that of Eddie, echolalic. When older, he apparently spoke to himself in unintelligible jargon and his conversation with others was minimal and monosyllabic.
由于十九世纪的冲突，汤姆的音乐才能的性质和他的缺陷程度很难确定 报告。有些可能是故意误导的，由那些希望夸大或最小化对比的人撰写 在他的音乐和其他能力之间。例如，他被称为“未经训练的音乐天才”，尽管他已经接受了 广泛的钢琴课程。幸运的是，米勒能够找到有关其他 11 位音乐专家的更严格的文件。 他能够见到其中几个人并与之合作。
The nature of Tom’s musical ability and the extent of his deficits are difficult to establish owing to conflicting nineteenth-century reports. Some may have been deliberately misleading, written by those wishing either to exaggerate or to minimize the contrast between his musical and other abilities. He was, for instance, called an ‘untutored musical genius’ even though he had received extensive piano lessons. Fortunately, Miller was able to locate more rigorous documentation about eleven other musical savants, several of whom he was able to meet and work with.
其中之一是 CA.19 他也是天生失明的，到 6 岁时他被诊断出患有严重智力迟钝;他的语言是， 并且一直保持到米勒的书的日期，几乎完全是回声。CA 被安置在寄宿机构;他是 咄咄逼人，直到 11 岁，都必须由工作人员喂食、穿衣和如厕。正是在那些年里， 他对声音的特殊敏感性变得明显。如果他听到有人用勺子敲击桌子上的声音，CA 就会敲击 对象，直到找到与他所听到的正确匹配项。他被其中一位主管的手风琴所吸引 被带进病房。主管承担了教他弹奏的任务——从那时起，这是一项非常困难的任务 可能几乎没有口头指示。但是，一旦 CA 学会了产生不同声音所需的指法，他的进步 是迅速的。他开始在主管家上课，其中一些持续了一整天。十四岁时，他出现了 在他的第一场公开音乐会上，他开始定期演出，经常和他的老师一起演出。他搬进了一家私人 回家并开始学习钢琴;他喜欢华尔兹和波尔卡舞曲，在他演奏的最初几年里就学会了这些。
One of these was CA.19 He, too, was blind at birth, and by the age of six he had been diagnosed as severely mentally retarded; his language was, and remained up to the date of Miller’s book, almost entirely echolalic. CA was placed in a residential institution; he was aggressive and, until the age of eleven, had to be fed, dressed and toileted by the staff. It was during those years that his special sensitivity to sound became apparent. If he heard someone tapping a sound with a spoon on a table, CA would tap objects until he found the correct match for what he had heard. He was attracted to an accordion that one of the supervisors brought into the ward. The supervisor took on the task of teaching him to play – an extraordinarily difficult task since there could be virtually no verbal instruction. But once CA had learnt the required fingering to produce different sounds, his progress was rapid. He began lessons at the supervisor’s house, some of which lasted whole days. At the age of fourteen he appeared in his first public concert and he then began to make regular performances, often with his teacher. He moved into a private home and began to learn the piano; he favoured waltzes and polkas, having learnt those during his first few years of playing.
Eddie 和 CA 只是 Leon Miller 在他的书中描述的 13 位音乐专家中的两位。其他已知情况，例如 作为一个名叫 Noel 的自闭症年轻人，他可以近乎完美地演绎他刚刚听到的古典作品。20 米勒将他研究的音乐专家彼此、其他音乐专家以及群体进行了比较 的成人和儿童表现出非凡的音乐天赋，但除了少数例外，认知能力没有受损。这 例外情况要么是盲人，要么有一些语言缺陷，尽管没有音乐专家的症状那么严重。其中几位成年人是专业的 钢琴 家。米勒的研究很严格，他的所有受试者都进行了相同类型的音高和节奏识别测试 用于脑损伤的患者。这些测试带来了相当大的挑战，尤其是当 受试者有 Echolalia 的倾向。21
Eddie and CA are just two of the thirteen musical savants that Leon Miller describes in his book. Other cases are known, such as an autistic young man named Noel who could perform near-perfect renditions of classical pieces that he had just heard.20 Miller compared the musical savants he studied both with one another and with other musical savants, as well as with groups of adults and children who showed exceptional musical talent but, with a few exceptions, were cognitively unimpaired. The exceptions were either blind or had some language deficits, although less severe than those of the musical savants. Several of the adults were professional pianists. Miller’s study was rigorous and all his subjects undertook the same types of tests of pitch and rhythm recognition as were used on the patients who had suffered brain damage. These tests provided a considerable challenge, especially when the subjects had a tendency towards echolalia.21
米勒最引人注目的发现是，这部音乐剧的具体缺陷和能力存在很强的相似性 专家。所有 13 个都被确定为具有完美音高（也称为绝对音高）——识别或 以按顺序唱出特定音高的音符。尽管这可能在非常年幼的儿童中很普遍，甚至可能普遍存在， 每万个成年人中只有一个拥有完美的音高。米勒的对照组包括专业音乐家，都没有 有完美的音调。米勒和另一位专门研究专家的心理学家贝亚特·赫梅林 （Beate Hermelin） 都得出结论，拥有 完美音高很可能是发展音乐能力的必要条件，尽管不是充分条件 认知障碍儿童，因为它为理解更复杂的音乐结构提供了基本组成部分。22
Miller’s most striking finding was the existence of strong similarities in the specific deficits and abilities of the musical savants. All thirteen were identified as having perfect pitch (also known as absolute pitch) – the ability to identify or to sing a note of a specific pitch to order. Although this may be widespread and perhaps even universal in very young children, only one adult in every ten thousand has perfect pitch. None of Miller’s control group, which included professional musicians, had perfect pitch. Both Miller and Beate Hermelin, another psychologist specializing in savants, have concluded that the possession of perfect pitch is most likely a necessary, although not sufficient, condition for the development of musical abilities in cognitively impaired children because it provides the basic building blocks for understanding more complex musical structures.22
音乐专家之间的第二个相似之处是，他们中至少有八人在年轻时有 echolalia 的倾向; 在一些情况下，这种情况持续到成年。患有 echolalia 的人似乎无法理解单词的含义 和/或词语与说话者和听众之间分享的经验有关。与其他类型的语言缺陷不同， Echolalia 需要对声音的敏感性，并欣赏声音如何组合在一起形成序列。23
A second similarity among the musical savants was that at least eight of them had a tendency towards echolalia when young; in several cases this persisted into adulthood. People with echolalia appear unable to understand that words have meanings and/or that words relate to experiences shared between the speaker and the listener. Unlike other types of language deficits, echolalia requires sensitivity to sound and an appreciation of how sounds are combined together to make sequences.23
音乐专家的另一个共同特征是性别：米勒记录的 13 人中有 10 人是男性。类似的 自闭症儿童和成人存在性别偏见，其中完美音高的发生率也很高。24 这种偏见可能反映了男性和女性认知之间的普遍差异，这使得前者特别 容易受到与语言和同情他人感受的能力相关的缺陷的影响。25
A further common feature among the musical savants was gender: ten out of the thirteen documented by Miller were male. A similar gender bias is found in the case of autistic children and adults, among whom there is also a high incidence of perfect pitch.24 This bias may be a reflection of a general difference between male and female cognition which leaves the former particularly susceptible to deficits relating to language and the ability to empathize with other people’s feelings.25
最有趣的发现是米勒将专家的音乐能力与他的对照组进行比较。相反 在一些人看来，他们不是死记硬背的，也不限于固定数量的棋子。相比之下，他们 表现出与专业音乐家相似的音乐理解水平。他们执业的程度 并且课程差异很大。有些人，比如 Blind Tom 和 CA，接受了长时间的强化辅导，反复玩耍 在他们掌握了它之前;其他的似乎更自发。Eddie 很少练习钢琴。 然而，在每种情况下，他们的音乐知识都是广泛的，没有特别的漏洞或缺陷。它包括对音乐创作规则的敏感性， 使他们能够即兴创作并立即捕捉到一首音乐的精髓。米勒描述了一个圣诞节是怎样的 他把 Eddie 介绍给了;柴可夫斯基《胡桃夹子》组曲的完整管弦乐版本：“每个片段结束后，埃迪都跑到钢琴前，进行他的演奏。这些总是忠实于风格和氛围 的原件。糖梅仙子轻盈细腻，哥萨克舞充满活力。26 因此，埃迪能够捕捉到他演奏的乐曲的要点，显示出对它们一般的抽象品质的理解 以及他们的细节。
The most interesting finding came when Miller compared the musical abilities of savants with those of his control group. Contrary to some people’s expectations, they did not play by rote and were not limited to a fixed number of pieces. In contrast, they displayed a level of musical understanding similar to that possessed by professional musicians. The extent to which they practised and had lessons varied hugely. Some, like Blind Tom and CA, had had long periods of intensive tutoring, repeatedly playing the same piece until they had mastered it; others appear to have been more spontaneous. Eddie rarely practised the piano. In every case, however, their musical knowledge was extensive, with no particular holes or deficits. It included sensitivity to the rules of musical composition, enabling them to improvise and to capture immediately the essence of a piece of music. Miller describes how one Christmas he introduced Eddie to; the full orchestral version of Tchaikovsky’s Nutcracker suite: ‘After each segment Eddie ran to the piano, giving his rendition. These were always faithful to the style and ambience of the original. The Sugar Plum Fairy was light and delicate, the Cossack Dance exuberant.’26 Eddie was thus able to capture the gist of the pieces he played, showing an understanding of their general, abstract qualities as well as their particulars.
他们似乎完全掌握了专家，这似乎与其他类型的能够提供 任何给定日历日期的星期几，显然工作量很小。这是一项了不起的数学壮举，而且， 就像音乐专家一样，他们必须通过隐含地理解定义天数的规则来实现这一目标 而不是依赖死记硬背。但是日历计算器的数学天赋很少扩展到 数学，他们经常显得无能。高阅读专家似乎同样受到限制。虽然能够快速阅读 然后准确地回忆长篇大论的文字，他们似乎无法通过识别和链接来提取整体含义 将每段经文中包含的思想放在一起。与 Eddie 的音乐不同，他们无法提取故事的要点。27
With their seemingly complete mastery of savants appear to contrast with other types of are those who are able to provide the day of the week for any given calendar date with apparently minimal effort. This is a remarkable mathematical feat and, like musical savants, they must achieve it by having an implicit understanding of the rules underlying how days are defined rather than a reliance on rote memory. But the mathematical talent of calendar calculators rarely extends to other areas of mathematics, in which they often appear inept. Hyperlexic savants appear to be similarly limited. Although able to read rapidly and then recall accurately long passages of text, they appear unable to extract the overall meaning by identifying and linking together the ideas contained within each passage. Unlike Eddie with his music, they cannot extract the gist of a story.27
在本书的后面，我们将回到 Eddie 和其他音乐专家身上，进一步探索完美的意义 音乐与语言之间关系的宣传;事实上，语言与音乐剧发展之间的关系 人才是 Miller 工作中出现的最重要的问题之一，我们将在第 6 章中探讨。但在我们离开之前 他们，我必须再引用米勒书中的一段话。这描述了 Eddie 九岁时与 Eddie 一起散步的经历，作者 自从米勒第一次遇到他以来，他的语言、性格和身体能力都有了显着的改善 当他五岁时。他开始上一所新学校，现在有一位音乐老师带他去参加独奏会，埃迪可以在那里 有时与专业音乐家一起演奏。这位老师与 Eddie 一起工作的经历提供了一个引人入胜的附录 米勒自己的研究，她的回忆如下：
We will return to Eddie and the other musical savants later in this book as we explore further the significance of perfect pitch for the relationship between music and language; indeed, the relationship between language and the development of musical talent is one of the most important issues arising from Miller’s work, and will be explored in chapter 6. But before we leave them, I must cite one further passage from Miller’s book. This describes a walk with Eddie when he was nine years old, by which time his language, personality and physical abilities had improved markedly since Miller’s first encounter with him when he was five. He had begun attending a new school and now had a music teacher who took him, to recitals, where Eddie could sometimes play with the professional musicians. This teacher’s experience of working with Eddie provides a fascinating appendix to Miller’s own studies, and among her recollections is the following:
我发现与 Eddie 一起散步是一次穿越声音全景的旅程。他用手沿着金属门滑行，听见嘎嘎声; 他敲打每根灯柱，如果音调好，他就说出音高;他停下来听到汽车音响;他望向天空 跟踪飞机和直升机;他模仿鸟儿的鸣叫;他指着街上隆隆作响的卡车。我们走进一家小商店，我几乎没注意到背景中的收音机 但他向我报告说，'那个人在用西班牙语唱歌。如果是听觉的，Eddie 会对此保持警觉，而通过听觉，他会保持警觉 到更多。28
I found that a walk with Eddie is a journey through a panorama of sounds. He runs his hand along metal gates to hear the rattle; he bangs on every lamp post and names the pitch if it has good tone; he stops to hear a car stereo; he looks into the sky to track airplanes and helicopters; he imitates the birds chirping; he points out the trucks rumbling down the street. We go into a small store and I hardly notice the radio in the background but he reports to me, ‘That man is singing in Spanish.’ If it is aural Eddie is alert to it, and through the aural he is alert to so much more.28
4 没有音乐的语言
4 Language without music
获得性和先天性失眠
Acquired and congenital amusia
Shebalin、NS、Eddie 和我们迄今为止考虑过的其他那些人都表明，音乐的能力可以存在于其中 没有语言的大脑。但反之亦然吗？没有音乐，语言可以存在吗？如果是这样，那么我们可以 将音乐和语言称为大脑中具有“双重解离”，这通常被视为两者发展的标志 和进化独立性。这种双重分离确实存在，从下面的叙述中可以明显看出这一点 那些要么失去了音乐能力而保留了语言能力的人，要么根本就没有发展过任何音乐能力 能力。这种情况的词是 amusia，在音乐上相当于失语症。
Shebalin, NS, Eddie and those others we have so far considered all demonstrate that the capacity for music can exist within the brain in the absence of language. But is the converse also true? Can language exist without music? If so, then we can refer to music and language as having a ‘double dissociation’ in the brain, which is often taken as a sign of both developmental and evolutionary independence. This double dissociation does indeed exist, as will become apparent from the following accounts of people who either lost their musical abilities while retaining those for language, or who simply never developed any musical ability at all. The word for this condition is amusia, the musical equivalent of aphasia.
尽管在我们研究 amusia 的各种案例历史时将参考众多科学家的工作，但 蒙特利尔大学的 Isabelle Peretz 博士具有最重要的意义。她对 amusia 进行了广泛的研究，并发现了 这种情况的许多重要方面。特别是，她发现了令人信服的证据，证明音乐的能力是 大脑中没有一个实体，而是由它组成的实体可能会丢失，而其他实体则保持完整。此外，有些出现 致力于音乐，而其他语言显然与语言系统共享。我们必须从另一位专业人士开始 音乐家，一个既不是严格意义上的 AMUSIA 也不是失语症的案例。
Although reference will be made to the work of numerous scientists as we examine various case histories of amusia, that of Dr Isabelle Peretz of Montreal University is of most significance. She has undertaken extensive studies of amusia and discovered many important aspects of this condition. In particular, she has found compelling evidence that the capacity for music is not a single entity in the brain but is constituted of which can be lost while others remain intact. Moreover, some appear to be dedicated to music while others are evidently shared by the language system. We must start with another professional musician and a case that is neither strictly one of amusia nor of aphasia.
这部歌剧在我的脑海中，我听到了，但我“永远不会写它”
This opera is in my head, I hear it, but I will ‘never write it’
这是法国作曲家莫里斯·拉威尔 （Maurice Ravel） 在 1933 年 11 月向他的一位朋友吐露他的 新歌剧《圣女贞德》（Jeanne d'Arc），在他去世前四年。他的最后几年被大脑退化所困扰，导致轻度失语症并完全消失 拉威尔写下他创作的音乐的能力。我们也许可以想象，通过思考，这一定是多么具有破坏性 关于我们自己在“舌尖上”有一个词但又不能完全说出来时的挫败感。想象一下一整部歌剧坐在那里。无法书写称为失graphia。
These were the words of the French composer Maurice Ravel in November 1933 when confiding to one of his friends about his new opera, Jeanne d’Arc, four years before he died. His last years were blighted by a brain degeneration that caused mild aphasia and entirely removed Ravel’s ability to write down the music he composed. We can, perhaps, imagine how devastating this must have been by thinking about our own frustration when we have a word ‘on the tip of the tongue’ but can’t quite say it. Imagine a whole opera sitting there. The inability to write is called agraphia.
拉威尔生病的最初迹象出现在 1927 年初，当时他开始犯“写作错误”。1 1928 年 11 月，他在马德里演奏奏鸣曲时失去了自己的位置，从第一乐章直接跳到终曲。拉威尔开始遭受强烈的挫折，飞入 当他找不到他想说的词时，他很生气。到 1933 年，他的朋友们开始帮助写下他的作品， 特别是 Don Quichotte à Dulcinée 的三首歌曲和 Ronsard à son âme 的管弦乐。然而，拉威尔的 agra-phia 很快就变得严重，并在那年年底有效地完成了，此后他再也没有 再次签下他的名字。他最后一次公开露面是在 11 月，指挥 Boléro，但正如当时所指出的，“毫无疑问，管弦乐队是靠自己管理的”。拉威尔的演讲也受到了影响，导致他 努力寻找合适的名字。然而，与 Shebalin 不同的是，他仍然能够表达自己并理解语言。 他死后敏锐地意识到他的疾病如何使他能够在脑海中创作音乐，但却无法将其写下来。
The first signs of Ravel’s illness appeared early in 1927 when he began to make ‘blunders in writing’.1 In November 1928 he lost his place when playing his Sonatine in Madrid, jumping straight from the first movement to the finale. Ravel began to suffer intense frustration, flying into rages when he could not find the words he wanted to say. By 1933 his friends were helping to write down his compositions, notably the three songs of Don Quichotte à Dulcinée and the orchestration for Ronsard à son âme. However, Ravel’s agra-phia soon became severe and was effectively complete by the end of that year, after which he never signed his name again. His last public appearance was in November, conducting Boléro, but, as was noted at the time, ‘without doubt the orchestra managed on its own’. Ravel’s speech also suffered, causing him to struggle to find proper names. Unlike Shebalin, however, he remained able to express himself and to understand speech. He died acutely aware of how his illness had left him able to compose music in his head but quite unable to write it down.
神经学家 Théophile Alajouanine 博士在拉威尔生命的最后两年照顾和检查了他。2 他发现拉威尔仍然能够在钢琴上弹奏大调和小调音阶，并且他可以写下他的一些 来自记忆的作品，尽管有很多犹豫和一些错误。在聆听这些时，拉威尔可以察觉到任何偏离 从他最初写的内容来看，表明他的听力仍然完好无损。但视奏，写下新作品， 和 playing from a score 完全丢失了。他的主要缺陷是将音乐表现从一种模态翻译出来 – 在他的脑海中听到它们 – 到另一个人 – 将它们写在纸上或在钢琴上弹奏。
Dr Théophile Alajouanine, a neurologist, cared for and examined Ravel during the last two years of his life.2 He found that Ravel was still able to play major and minor scales on the piano, and that he could write down some of his compositions from memory, although with much hesitation and some errors. When listening to these, Ravel could detect any departures from what he had originally written, indicating that his hearing remained intact. But sight-reading, writing down new works, and playing from a score were entirely lost. His key deficit was in translating musical representations from one modality – hearing them inside his head – to another – writing them down on paper or playing them on a piano.
Alajouanine 没有确定拉威尔患病的确切原因，也没有对拉威尔的大脑进行尸检。 尽管最近的医学和科学期刊对他案例的讨论受到了我们理解的进步的影响 现在无法得出确切的结论。最好的猜测是拉威尔患有后牙退化 左大脑半球的区域，在颞上回和下顶叶。对这些的干扰 区域已知会导致 AMUSIA，但选择性音乐能力的丧失可能是由其他大脑的退化引起的 地区。
Alajouanine did not identify the precise cause of Ravel’s illness, and there was no post-mortem examination of Ravel’s brain. Although discussion of his case in recent medical and science journals has been informed by advances in our understanding of the brain, no firm conclusions can now be drawn. The best guess is that Ravel suffered from a degeneration of the posterior region of the left cerebral hemisphere, in the superior temporal gyrus and the inferior parietal lobe. Disturbance to these areas is known to cause amusia, but the loss of selective musical abilities may have arisen from degeneration of other brain areas.
手指迷失方向
Fingers losing their way
在其他 amusia 病例中也发现了类似的缺陷。“我知道我想播放什么，但我无法再传输音乐 从我的头到我的手中“，是一位 67 岁的澳大利亚人发自内心的哭泣，在医学文献中被称为 HJ。3 他曾经是一名业余音乐家，虽然他从未学过读书或写乐谱，但只作过曲 小调。HJ 在 1993 年中风，导致严重的失眠，同时失去了语言、推理、写作、 注意力和记忆力不受影响。他还报告说，他觉得自己的歌声变得更糟了，并且 他忘记了如何演奏他的单簧管和口琴。他似乎和拉威尔一样遭受了苦难——无能为力 来表达他在脑海中不断体验的音乐。
A similar deficit has been found in other cases of amusia. ‘I know what I want to play but I can no longer transfer the music from my head into my hands’ was the heartfelt cry of a sixty-seven-year-old Australian known in the medical literature as HJ.3 He had been an amateur musician, although he had never learnt to read or write music, and had composed nothing more than ditties. HJ suffered a stroke in 1993, resulting in severe amusia while leaving his abilities for language, reasoning, writing, concentration and memory unaffected. He also reported that he felt the sound of his singing had changed for the worse and that he had forgotten how to play his clarinet and harmonica. He seems to have suffered much the same as Ravel – an inability to express the music that he continued to experience within his head.
墨尔本大学心理学系的 Sarah Wilson 博士对 HJ 进行了检查。他是一个热情的人 对象，渴望了解他的状况，但经常因失去音乐能力而感到愤怒和痛苦。这样 当他试图通过唱歌或演奏乐器来表演时，感觉就产生了：他完全能够识别出 他犯了错误，但完全无法纠正它们。
HJ was examined by Dr Sarah Wilson from the Department of Psychology at the University of Melbourne. He was an enthusiastic subject, keen to understand his condition, but often became angry and distressed at the loss of his musical abilities. Such feelings arose when he attempted to perform by either singing or playing instruments: he was perfectly able to recognize the errors he made but quite unable to rectify them.
在中风之前，HJ 一直是一位热衷于钢琴的演奏家，并在他的整个童年时期都接受了课程。当被要求玩一些熟悉的 威尔逊记录了他曲目和一些主要音阶中的歌曲，他会如何让自己坐下并将手放在钢琴上 非常正确。但是当他开始演奏时，他的右手指法反复出错，右手的指法不够流畅。 他的左手更糟糕，显得笨拙，经常完全找不到正确的手指图案。事实上，他的 双手似乎彼此独立地演奏，因此他所能产生的旋律、节奏和和声的任何元素都被解散了 彼此之间。他会通过正确弹奏开场来开始一首歌，但随后他似乎无法回忆起和弦进行， 有时省略它们，从开场白跳到后面的类似短语。在其他情况下，他的两只手会 变得完全不协调，用右手指法简单的旋律，同时反复弹奏相同的和弦 左派。当拉威尔在他的 1928 年 11 月在马德里演奏奏鸣曲。
Before his stroke, HJ had been a keen pianist and had received lessons throughout his childhood. When asked to play some familiar songs from his repertoire and some major scales, Wilson noted how he would seat himself and position his hands at the piano quite correctly. But when he began to play he made repeated mistakes with the fingering of his right hand, which lacked fluency. His left hand was even worse, appearing clumsy and often entirely unable to find the correct finger patterns. In fact, his hands appeared to play independently of each other, so any elements of melody, rhythm and harmony he could produce were dissociated from one another. He would begin a song by correctly playing the opening but then he appeared unable to recall the chord progressions, sometimes omitting them and skipping from the opening line to a later, similar phrase. On other occasions his two hands would become entirely uncoordinated, fingering a simple melody with the right hand while repeatedly playing the same chord with the left. Ravel might have been suffering from something similar when he jumped from the first movement to the finale in his Madrid performance of Sonatine in November 1928.
HJ 的问题并不是由运动协调本身的缺陷引起的，因为他仍然可以演奏一首音乐 令人印象深刻的流利度，让听众感受到他以前的“音乐天赋”。这是“Kalinka”，一个俄罗斯人 他从小就学会的民歌。威尔逊认为，这已经成为最“自动、最博学”的作品 在他的音乐曲目中”。HJ 演奏的“Kalinka”与他响亮而笨拙地演奏其他旋律形成鲜明对比。这些 经常突然结束，缺乏音乐分句，并且通常由于过度使用延音而使音符模糊 踏板。他很难将自己的听觉表现转化为正确的手指动作顺序。这很可能是由于他的右侧受伤造成的 CT 扫描显示的下顶叶，这可以解释为什么他的左手而不是右手最严重 影响。
HJ’s problems did not arise from a deficiency in motor coordination per se because he could still play one piece of music with an impressive fluency, providing listeners with a sense of his previous ‘musical flair’. This was ‘Kalinka’, a Russian folk song that he had learnt at an early age. Wilson suggests that this had become the most ‘automatic, over-learnt piece in his music repertoire’. HJ’s performance of ‘Kalinka’ contrasted with his loud and clumsy playing of other melodies. These often ended abruptly, lacking musical phrasing and generally suffering from a blurring of the notes by an overuse of the sustain pedal. He suffered from difficulty in translating his auditory representations into the correct sequence of finger movements. This was most likely caused by damage to his right inferior parietal lobe, as revealed by a CT scan, which would explain why his left rather than his right hand was most seriously affected.
不出所料，HJ 在尝试下 hew 棋子时表现出了他最大的不足。当被要求弹奏钢琴时 some very 用于单手视奏的简单旋律段落，他能够为右手实现这一点，但为左手甚至无法实现这一点 尽管他能正确地识别出这些音符。他发现自己费了很大力气，试图把音乐的音符从脑海中移调出来 到他左手的手指上，他感到非常痛苦，以至于他拒绝完成任务。威尔逊评论说，他的手指似乎 完全无法找到他们在琴键上的路。
Unsurprisingly, HJ showed his greatest deficit when attempting to play hew pieces. When asked to play on the piano some very simple melodic passages for one-handed sight-reading, he was able to achieve this for the right hand but not the left, even though he could correctly identify the notes. He found the effort of trying to transpose the notes of the music from his mind to the fingers of his left hand so distressing that he refused to complete the tasks. Wilson commented that his fingers seemed totally unable to find their way around the piano keys.
当唱歌听起来像喊叫时
When singing sounds like shouting
1997 年 12 月，一名 20 岁的男子被转介给医学院的 Massimo Piccirilli 教授和他的同事 和佩鲁贾大学神经病学研究所。4 病人——医疗报告中没有给出姓名或姓名首字母——经历了一次突然而剧烈的头痛， 随后出现恶心、呕吐和语言障碍发作。紧急脑部扫描显示血肿 – 肿瘤充满 左颞区有血。肿瘤的引流和闭合，这一过程被称为“夹闭”，可以防止进一步 超出左侧颞上回和颞叶已经发生的脑损伤。
In December 1997 a twenty-year-old man was referred to Professor Massimo Piccirilli and his colleagues at the Medical School and Institute of Neurology of the University of Perugia.4 The patient – neither a name nor initials are given in the medical report – had experienced a sudden and violent headache, followed by nausea, vomiting and the onset of a language disorder. An emergency brain scan showed a haematoma – a tumour filled with blood-in the left temporal region. Drainage and closure of the tumour, a process known as ‘clipping’, prevented any further brain damage beyond that which had already occurred in the left superior temporal gyrus and the temporal lobe.
尽管立即测试显示患者在理解、写作和 阅读，几天之内就开始了快速而自发的改善。事件发生一个月后，语言错误 变得罕见，三个月后患者的语言能力实际上已恢复正常。但他的感知 的音乐发生了变化：患者现在无法唱歌或弹吉他，他报告说声音变得“空洞” 和寒冷“，同时唱着”听起来像喊叫”。“当我听到一首歌时，”患者解释说，“起初听起来很熟悉 但我认不出来。我觉得我没听错，但后来我就失去了它的音乐性。HJ，澳大利亚男子 与拉威尔的类似，也抱怨现在的音乐听起来“像可怕的噪音”。5
Although immediate tests revealed that the patient was experiencing substantial difficulties with comprehension, writing and reading, a rapid and spontaneous improvement had begun within a few days. One month after the event linguistic errors had become rare, and after three months the patient’s language abilities had effectively returned to normal. But his perception of music had changed: the patient was now unable to sing or play his guitar and he reported that sounds had become ‘empty and cold’, while singing ‘sounds like shouting’. ‘When I hear a song,’ the patient explained, ‘it sounds familiar at first but I can’t recognize it. I think I’ve heard it correctly but then I lose its musicality.’ HJ, the Australian man whose amusia was similar to Ravel’s, also complained that music now sounded ‘like awful noise’.5
对于这两个患者来说，听音乐已经成为一种不愉快的经历。这是悲剧性的：Piccirilli 的病人 一直是一个狂热的音乐爱好者和称职的吉他手。虽然他没有学会读谱，但他已经练习过吉他 从 14 岁开始，他与朋友组建了一个乐队，他在乐队中演奏和唱歌。同样，HJ 也能够 弹钢琴、单簧管、鼓和口琴，经常被要求在社交活动中演奏，特别喜欢即兴创作 在钢琴上。
For both these sufferers, listening to music had become an unpleasant experience. This was tragic: Piccirilli’s patient had been an avid music lover and a competent guitarist. Although he had not learnt to read music, he had practised the guitar since the age of fourteen and formed a band with his friends in which he both played and sang. Similarly, HJ had been able to play the piano, clarinet, drums and harmonica, was often asked to play at social functions and particularly enjoyed improvising on the piano.
Massimo Piccirilli 和他的同事进行了广泛的测试，以检查患者的语言和其他认知能力 功能，例如记忆、感知识别和学习能力。事实证明，一切都是绝对正常的。他能够正确 为了识别环境声音并判断它们是否来自人（例如，咳嗽或大笑）、动物、 自然界（例如，自来水）、车辆或机器。他还能够识别出口语短语的韵律声调， 正确识别说话者的情绪。但他的音乐能力肯定发生了一些事情——或者至少发生了 对他们中的一些人来说。
Massimo Piccirilli and his colleagues carried out a wide range of tests to examine their patient’s linguistic and other cognitive functions, such as memory, perceptual recognition and learning abilities. All proved absolutely normal. He was able correctly to identify environmental sounds and to tell whether they emanated from people (for example, coughing or laughing), animals, nature (for instance, running water), vehicles or machines. He was also able to recognize the prosodic tone of a spoken phrase, correctly identifying the mood of the speaker. But something had certainly happened to his musical abilities – or at least to some of them.
患者无法识别熟悉的旋律，那些经常哼唱或众所周知的旋律，例如国歌。 他也认不出曾经是他最喜欢的音乐作品。但他能认出一首曲子的强度 音乐及其音色（随演奏的乐器而变化），以及熟悉的节奏，如华尔兹或 探戈。一整套详细的测试证实，虽然患者已经完全失去了处理旋律的能力， 他仍然能够处理节奏和音色。这与 HJ 的情况形成鲜明对比：虽然他的语言能力可以 也被认为是正常的，但他的 AMUSIA 更加完全，使他无法保持稳定的脉搏以响应外部 音调，随着音乐拍手和跳舞，或区分和再现节奏。所以，正如我们在损失中发现的那样 失语症患者的语言，构成我们音乐能力的各种组成部分丢失的程度，或者 在 AMUSIA 的情况下保存有很大差异。
The patient could not identify familiar melodies, those that are commonly hummed or well known such as the national anthem. Neither could he recognize what had once been his favourite musical pieces. But he could recognize the intensity of a piece of music and its timbre (which varies with the instrument being played), as well as familiar rhythms such as the waltz or tango. A whole battery of detailed tests confirmed that while the patient had entirely lost his ability to process melody, he remained competent at processing rhythm and timbre. This contrasts with HJ’s situation: while his language abilities could also be considered normal, his amusia was more complete, leaving him unable to maintain a steady pulse in response to an external tone, to clap and dance in time to music, or to discriminate between and to reproduce rhythms. So, as we found with the loss of language in cases of aphasia, the extent to which the various components that make up our musical abilities are lost or preserved varies considerably in cases of amusia.
失去调性知识
Losing tonal knowledge
我们的下一个案例侧重于一位来自魁北克的 51 岁商人，称为 GL，并进一步证明了 大脑的音乐能力由多个组件构成，这些组件彼此之间具有一定程度的独立性。 虽然他不是音乐家，但 GL 热衷于听流行音乐和古典音乐，并经常参加音乐会。1980年 他患有右大脑中动脉动脉瘤。在被剪掉后，他恢复了并能够返回 工作，无明显症状。但一年后，GL 的左侧出现了一个镜像动脉瘤，也被夹住了 但留下了严重的失语症。两年的言语治疗使他恢复了语言能力和生活方式 现在与任何其他富裕的退休人员相似——除了一个重大例外。第二动脉瘤;已经造成了 永久性 amusia，GL 不再能够享受音乐 1990 年的 CT 扫描证实了大脑左颞叶和右额盖区的病变。
Our next case focuses on a fifty-one-year-old businessman from Quebec, known as GL, and provides further evidence of how the brain’s capacity for music is constituted by multiple components which have some degree of independence from one another. Although a non-musician, GL was a keen listener to popular and classical music, and frequently attended concerts. In 1980 he suffered an aneurysm of the right middle cerebral artery. After this was clipped he recovered and was able to return to work, with no apparent symptoms. But one year later, GL suffered a mirror aneurysm on the left side, which was also clipped but left him with severe aphasia. Two years of speech therapy enabled him to recover his language abilities, and his lifestyle was now similar to that of any other well-off retired person – with one substantial exception. The second aneurysm; had caused permanent amusia, and GL was no longer able to enjoy music A CT scan in 1990 confirmed lesions in the left temporal lobe and the right frontal opercular region of the brain.
第一个动脉瘤十年后，Isabelle Peretz 检查了 GL 的失尿症。在一年的时间里，她进行了广泛的 一系列测试，试图确定其确切性质。首先，她总体评估了他的认知和运动能力， 例如记忆力、语言和视觉辨别力。这些都是很正常的，反映了他的高教育程度。 此外，他还被发现在识别动物的哭声、环境噪音和特定的声音方面相当正常 乐器。但他的失恋很严重。他未能在接受评判的 140 首音乐选段中找出一首 当时魁北克的居民很熟悉，毫无疑问，他能够在大脑之前识别出来 损伤。
Ten years after the first aneurysm, Isabelle Peretz examined GL’s amusia. During the course of a year she performed an extensive series of tests in an attempt to identify its precise nature. First, she assessed his cognitive and motor abilities in general, such as memory, language and visual discrimination. These were all quite normal and reflected his high educational attainment. Moreover, he was also found to be quite normal at recognizing animal cries, environmental noises and the sounds of specific musical instruments. But his amusia was severe. He failed to identify a single one out of 140 musical excerpts that were judged to be familiar to residents of Quebec at the time and which he would undoubtedly have been able to identify prior to his brain damage.
有趣的是，当 Peretz 单独检查 GL 音乐能力的每个单独组成部分时，她发现大多数 保持不变。例如，当在钢琴上弹奏连续的音符时，他可以说出它们是相同的还是 不同的音高。事实上，他的音高识别能力与五个对照组（正常受试者）没有什么不同 同性别、相似年龄，具有同等的教育和音乐经验。同样，他也能够识别 音乐作品是否具有相同或不同的节奏，并且能够利用轮廓 – 作品的方式 的音乐在音调上起伏，因为它们是 Disc-Recognition 任务。
Interestingly, when Peretz examined each separate component of GL’s musical ability in isolation, she found that most had remained intact. For instance, when played successive notes on the piano, he could state whether they were of the same or different pitches. His ability at pitch recognition was, in fact, no different from that of five controls – normal subjects of the same sex and similar age, and with equivalent educational and musical experience. Similarly, he was able to recognize whether pieces of music had the same or different rhythms, and was able to make use of contours – the manner in which pieces of music rise and fall in pitch as they are played-in discrimination tasks.
GL 失败的地方在于那些需要使用音调知识的测试——那些我们拥有的关于音乐如何的隐含规则 应该结构化。音乐学家们一致认为，我们在童年时期就获得了这些知识，而 明确的辅导，并且它对于音乐体验至关重要。正如我在第 2 章中指出的，人们可以将其与 我们也在很小的时候自动获得语法知识，尽管两者并不严格等同。色调 知识使我们能够识别一首音乐听起来是否“正确”，就像我们对语法的隐含知识一样 告诉我们一个句子是否有意义。
Where GL failed was on those tests that required the use of tonal knowledge – those implicit rules we possess about how music should be structured. There is a consensus among musicologists that we acquire such knowledge very early in childhood, without explicit tutoring, and that it is essential for musical experience. As I noted in chapter 2, one might compare it with the grammatical knowledge that we also automatically acquire at an early age, although the two are not strictly equivalent. Tonal knowledge enables us to identify whether a piece of music sounds ‘right’, in the same way that our implicit knowledge of grammar informs us whether or not a sentence makes sense.
Peretz 对声调知识进行了简洁的总结：
Peretz provides a succinct summary of tonal knowledge:
在我们的 [即西方] 音乐习语中，一组音乐音调由一组有限的音高合奏组成，大致对应 到钢琴键盘的音调。此外，这些音高中的一小部分通常在给定的作品中使用，即 那些来自特定音阶的。西方流行音乐中最常用的音阶是全音阶，其中包含 七个音调，以八度间隔重复。刻度的结构是固定的，在俯仰距离方面是不对称的。它由五个完整步骤和两个半步骤组成。音阶色调不等效 并围绕一个称为主音的中心音调进行组织。通常一首曲子以主音开始和结束。在其他量表中 或全音阶调，则存在重要性或稳定性的层次结构，第五音阶音调 - 通常替代 主音 – 与其他音阶音相比，第三音阶音与主音的关系更紧密。一起，滋补品， 第三和第五和弦形成所谓的大三和弦，它为调感提供了强烈的提示。 其余的音阶音调与主音的相关性较低，而非音阶音调的相关性最小;后者通常听起来像 就像 'foreign' 声调一样。6
In our [i.e. the Western] musical idiom, the set of musical tones consists of a finite ensemble of pitches, roughly corresponding to the tones of a piano keyboard. Moreover, only a small subset of these pitches is generally used in a given piece, i.e. those from a particular musical scale. The most common scale used in popular Western music is the diatonic scale, which contains seven tones, repeated at octave intervals. The structure of the scale is fixed and asymmetrical in terms of pitch distance. It is built of five whole steps and two half steps. Scale tones are not equivalent and are organized around a central tone, called the tonic. Usually a piece starts and ends on the tonic. Among the other scale or diatonic tones, there is a hierarchy of importance or stability, with the fifth scale tone – often substituting for the tonic – and the third scale tone being more closely related to the tonic than the other scale tones. Together, the tonic, the third and the fifth form what is referred to as a major triad chord, which provides a strong cue for the sense of key. The remaining scale tones are less related to the tonic, and the non-scale tones are the least related; the latter often sound like ‘foreign’ tones.6
虽然这些规则的具体特征与西方音乐有关，但我们应该注意到，音阶的使用是普遍的 音乐。大多数音阶都有一些共同的属性：大多数音阶使用相隔一个八度的音高，并围绕 5 到 7 个聚焦间距。有人认为，这个相对较小的数字可能与 人类记忆。
While the specific character of these rules relates to Western music, we should note that the use of scales is universal in music. The majority of scales have some common properties: most make use of pitches an octave apart, and are organized around five to seven focal pitches. This relatively small number might, it has been suggested, relate to cognitive constraints on human memory.
通过隐含地获得音调知识，听众可以很容易地检测到偏离旋律音阶的音调。 此外，西方听众对听符合他们音调系统的音乐有强烈的审美偏好。 毫无疑问，在他的脑损伤之前，GL 拥有这种隐含的音调知识;这将为他巨大的 享受音乐。
By having implicitly acquired tonal knowledge, listeners can readily detect tones that depart from the scale of a melody. Moreover, Western listeners have a strong aesthetic preference for listening to music that conforms to their tonal system. There can be little doubt that, prior to his brain damage, GL possessed such implicit tonal knowledge; this would have provided the basis for his immense enjoyment of music.
Peretz 播放 GL 并控制受试者一组旋律，并要求他们挑选出那些听起来完整的旋律。所有的旋律 以下降的音高等值线结尾，但只有其中一些在结尾有主音，因此通常会被识别 作为 complete。对照受试者以约 90% 的成功率识别这些;GL 的成功率为 44 per 分。在另一项测试中，Peretz 检查了 GL 是否偏爱有声调或无调性旋律。正如人们所料， 对照组受试者对前者有很强的偏好，但 GL 甚至无法区分他们。他抱怨说，该测试 对他来说没有任何意义;他能听出差异，但不知道如何解释它们。HJ，那个受苦的人， 和拉威尔一样，他仍然能在脑海中听到音乐，也无法区分有调和无调的旋律，他 在与音调知识有关的其他任务上也失败了，他知道他会这样做。7
Peretz played GL and control subjects a set of melodies and asked them to pick out those that sounded complete. All the melodies ended with a descending pitch contour, but only some of them had the tonic at the end and so would normally be recognized as complete. The control subjects identified these with a success rate of about 90 per cent; GL’s success rate was 44 per cent. In another test, Peretz examined whether GL had a preference for tonal or atonal melodies. As one might expect, the control subjects had a strong preference for the former, but GL could not even tell them apart. He complained that the test did not make any sense to him; he could hear the differences but did not know how to interpret them. HJ, the sufferer who, like Ravel, could still hear music within his head was also unable to distinguish between tonal and atonal melodies, and he failed, too, on other tasks relating to tonal knowledge that he knew he would his stroke.7
GL 的其他音乐能力 – 他对音高的判断、对旋律轮廓的识别和对音色的识别 – 要么完全完好无损，要么仅受到中度损害。Peretz 得出结论，GL 的 amusia;已经出现 来自一个非常具体的缺陷——音调知识的损害，她将其描述为音高的音调编码。当缺少这一点时， Peretz 认为，一个不可避免的后果是无法识别旋律。
The rest of GL’s musical abilities – his crimination of pitch, recognition of melodic contour and identification of timbre – had either remained entirely intact or had become only moderately impaired. Peretz concluded that GL’s amusia; had arisen from a very specific deficit – an impairment of tonal knowledge, which she otherwise describes as the tonal encoding of pitch. When this is lacking, Peretz argues, an inevitable consequence will be an inability to recognize melodies.
文字的意义
The significance of words
下一个案例涉及另一种分离，这次是在歌曲和旋律之间。歌唱是一个重要的话题，因为它涉及 旋律和语音的整合 – 音乐和语言。歌曲的歌词和旋律是否存储在内存中 彼此独立或以某种综合形式仍然是神经心理学家之间争论的焦点，尽管 对这个问题的研究有限。这使得 KB 的情况，一位在 64 岁时中风的加拿大男子， 更有趣的是，它提供了一些关于同一首歌的歌词和旋律如何存储在其中的线索 大脑。8
The next case concerns another dissociation, this time between song and melody. Singing is an important topic because it involves the integration of both melody and speech – music and language. Whether the words and melodies of songs are stored in memory independently of each other or in some integrated form remains a point of contention among neuro-psychologists, although there has been limited research into the issue. This makes the case of KB, a Canadian man who suffered a stroke at the age of sixty-four, all the more interesting because it provides some clues as to how the lyrics and the melody of the same song are stored within the brain.8
KB 是一名业余音乐家。他在学校吹过小号和打鼓，并在理发店四重奏中唱了十年 以及业余轻歌剧。他经常在家里唱歌，并定期听他收藏的大量爵士乐和古典乐 记录。1994 年 7 月，KB 因中风导致左侧瘫痪和语言困难而被送入医院。 一系列 CT 扫描显示右侧额顶区局灶性损伤，右侧小脑损伤程度较轻。
KB was an amateur musician. He had played trumpet and drums at school, and spent ten years singing in a barbershop quartet and in amateur operettas. He sang frequently at home and regularly listened to his large collection of jazz and classical records. In July 1994, KB was admitted to hospital after he suffered a stroke causing left-sided paralysis and speech difficulties. A series of CT scans showed focal damage in the right fronto-parietal area and to a lesser extent in the right cerebellum.
经过一段时间的恢复期，KB 接受了一系列心理测试。除了一些轻微的赤字外， 他的言语已经恢复了，记忆力也没有受到影响。但他的一般智力功能略有下降。 在对符号进行排序以及在字母和数字符号之间交替等任务中遇到困难。
After a period of convalescence, KB was subjected to a battery of psychological tests. With the exception of some minor deficits, his speech had recovered and his memory was unimpaired. But he had suffered a slight decline in his general intellectual functioning, experiencing difficulties in tasks such as sequencing symbols and alternating between alphabetic and numeric symbols.
KB 的听力本身没有受到影响;经过测试，他能够识别环境声音并正确识别 17 种乐器中有 13 种为他演奏。他的大多数错误并不罕见，例如混淆了双簧管 用巴松管。但一些音乐能力已经丧失，测试导致诊断出失眠症。KB 本人认识到 这，发现他在大声唱歌时听起来很平淡，而且他对音乐不再有任何兴趣。中风后， 他不再听他的唱片收藏，也避免参加音乐表演或活动。有趣的是，尽管他的 性格变得更加情绪化，他的行为变得更加冲动，他的言语现在没有任何韵律元素——它 听起来单调乏味。
KB’s hearing itself had not been affected; when tested he was able to identify environmental sounds and correctly recognized thirteen out of seventeen musical instruments played to him. Most of his mistakes were not unusual, such as confusing an oboe with a bassoon. But some musical abilities had been lost, and tests led to the diagnosis of amusia. KB himself recognized this, finding that he sounded flat when singing aloud and that music no longer had any interest for him. After his stroke, he no longer listened to his record collection and avoided musical performances or activities. Interestingly, although his personality became rather more emotional and his behaviour more impulsive, his speech now lacked any prosodic element – it sounded monotonous and unemotional.
加拿大金斯敦皇后大学的 Willi Steinke 教授和他的同事研究了 KB 的 amusia。与其他情况一样 研究中，他们将他在一系列测试中的表现与一组对照组进行了比较，这些对照组的年龄和音乐背景与 KB 相似，但音乐能力相当正常。发现 KB 对音高和节奏的感知是 严重受损，他再也无法识别著名的旋律，例如拉威尔的《波莱罗》或贝多芬《第五交响曲》的开场主题。然而，这些旋律纯粹是器乐的，当 KB 的能力 为了识别没有歌词的歌曲旋律，发现了一个非常不同的结果——他和任何人一样好 的控件。Steinke 还发现 KB 可以识别一些器乐旋律——那些他曾经拥有的旋律 学习了一些歌词，例如 Wedding March 和 William Tell Overture。
Professor Willi Steinke of Queen’s University in Kingston, Canada, and his colleagues studied KB’s amusia. As in other case studies, they compared his performance in a series of tests against a set of controls, people of similar age and musical background to KB but with quite normal musical abilities. KB’s perception of pitch and rhythm was found to be severely impaired, and he could no longer recognize well-known melodies, such as Ravel’s Boléro or the opening theme from Beethoven’s Fifth Symphony. However, those melodies are purely instrumental, and when KB’s ability to recognize song melodies played without their lyrics was tested, a very different result was found – he was as good as any of the controls. Steinke also found that KB could identify some instrumental melodies – those for which he had at one time learned some lyrics, such as the Wedding March and the William Tell Overture.
进行了进一步的测试来确认和探索这一令人惊讶的发现。它被证明非常健壮。它是 甚至发现，如果 KB 在带有歌词的歌曲中呈现它们，它们可以学习新的旋律，尽管在这种情况下 他的学习能力有限。当被要求识别一首歌的旋律时，他表现出了赤字，而歌词却完全不同 歌曲被播放;对照在这项任务中的成功率明显高于 KB。
Further sets of tests were undertaken to confirm and explore this surprising finding. It was shown to be very robust. It was even found that KB could learn new melodies if they were presented in the context of songs with lyrics, although in such cases his learning ability was limited. He showed a deficit when asked to identify a song melody while the lyrics to a quite different song were being played; the controls had a significantly higher success rate at this task than KB.
斯坦克和他的同事们测试了歌曲旋律与器乐旋律具有不同结构的观点，然后拒绝了这种观点 旋律，这可能使它们更容易识别。他们还拒绝了 KB 可能通常更熟悉的观点 用歌声而不是器乐旋律;他的音乐背景恰恰相反。无论如何，这并不能解释 他识别那些他曾经学习过一些歌词的器乐旋律的能力，或者他持续的能力， 尽管受到限制，但当它们与歌词一起呈现时，学习新的旋律。
Steinke and his colleagues tested, and then rejected, the idea that song melodies have a different structure from instrumental melodies, which might make them easier to identify. They also rejected the notion that KB might have been generally more familiar with song than with instrumental melodies; his musical background was quite the opposite. In any case, that would not explain his ability to recognize those instrumental melodies for which he had once learnt some lyrics, or his continuing ability, albeit limited, to learn new melodies when they were presented with lyrics.
Steinke 和他的同事得出结论，KB 的 amusia 的特定形式必须源自 歌曲存储在我们的记忆中。他们提出旋律和歌词实际上是单独存储在大脑中的，但尽管如此 保持联系，以便一个人可以作为回忆另一个人的手段。因此，每次我们听到一首熟悉的歌曲时，都会有两个 涉及互连的神经系统。一个是“旋律分析系统”，它激活了曲调的存储记忆，而 另一个是“语音分析系统”，对歌词做同样的事情。反复听一首歌可以建立强大的神经链接 在这两个系统之间，因此一个系统的激活会自动刺激另一个系统：当歌曲的旋律 播放过一个会想起歌词，反之亦然。
Steinke and his colleagues concluded that the specific form of KB’s amusia had to derive from the particular manner in which songs are stored in our memories. They proposed that melody and lyrics are actually stored separately in the brain but nevertheless remain connected so that one can act as a means to recall the other. Consequently, every time we hear a familiar song two interconnected neural systems are involved. One, the ‘melody analysis system’, activates the stored memory of the tune, while the other, the ‘speech analysis system’, does the same for the lyrics. Repeated listening to a song builds strong neural links between these two systems, so that activation of one will automatically stimulate the other: when the melody of a song is played one will recall the lyrics, and vice versa.
支持曲调记忆和歌词记忆分离的假设来自 GL 的情况，魁北克 失去了音调知识的商人，以及另一位名叫 CN 的患者，他在 1986 年，35 岁时遭受了痛苦 导致 AMUSIA 的脑损伤，但她的语言能力完好无损。GL 和 CN 都能够识别出歌词 当他们唱到他们听时，他们听到了熟悉的旋律，但无法识别相应的曲调。9 澳大利亚人 HJ 也发现了同样的情况，他和拉威尔一样，仍然可以在脑海中听到音乐，但无法表达 它。他可以从歌曲中识别出副歌，但完全无法识别从未有过联系的旋律 》的歌词。10
Support for the hypothesis of a separation between memory for tune and memory for lyrics comes from the case of GL, the Quebec businessman who lost tonal knowledge, and that of another sufferer, known as CN, who in 1986, at the age of thirty-five, suffered brain damage that caused amusia but left her language capabilities intact. Both GL and CN were able to recognize the lyrics of familiar melodies when they were sung to them, but were unable to recognize the corresponding tunes.9 The same was found with HJ, the Australian who, like Ravel, could still hear music in his head but was unable to express it. He could identify the choruses from songs but was quite unable to identify melodies that had never had an association with lyrics.10
这种记忆结构解释了 Steinke 对 KB 研究的另一个偶然发现——对照受试者更好 识别歌曲而不是纯粹的器乐旋律。歌曲的背诵建立了一个更广泛和详细的 大脑中的信息网络，因为涉及语音记忆和旋律记忆系统。这使得 更容易识别歌曲旋律，因为播放音乐时刺激的神经回路比 当旋律本质上是纯粹的工具性时。关于 KB，Steinke 建议他的 严重损坏的旋律分析系统幸存下来，当他听到熟悉的 歌曲旋律。这使他能够识别旋律，即使他没有听到通常伴奏的歌词 它。在听器乐旋律时，除了他受损的旋律分析之外，没有神经回路的刺激 系统，因此他未能完成识别任务。
This memory structure explains another incidental finding from Steinke’s study of KB – that the control subjects were better at recognizing songs than purely instrumental melodies. The memorizing of songs establishes a more extensive and elaborate network of information in the brain because both the speech memory and the melody memory systems are involved. This makes the recognition of a song melody easier, because more neural circuits are stimulated when the music is played than is the case when a melody is purely instrumental in nature. With regard to KB, Steinke suggested that a sufficient amount of his severely damaged melody analysis system had survived for it to activate his speech analysis system when he heard a familiar song melody. This enabled him to identify the melody, even though he was not hearing the words that would normally accompany it. When listening to an instrumental melody, there was no stimulation of neural circuits beyond his damaged melody analysis system and so he failed at the recognition task.
这也可以解释为什么 KB 学习新歌的能力有限，但学习器乐旋律的能力有限：前者激活了 语音分析系统以及他的旋律分析系统的残余部分，构建了一个相对复杂的神经 网络，这促进了记忆的形成。我们也可以理解为什么 KB 在歌曲旋律 将歌词演奏到不同的旋律。这些会对 KB 的语音分析系统造成干扰，而 他被播放的歌词和他的旋律分析系统的链接激活，这真是“回忆”了 不同的歌词。如果他的旋律分析系统完好无损，那么它的激活就足以克服 干扰，允许识别旋律和歌词，就像控件一样。
This would also explain why KB had some limited ability to learn new songs but not instrumental melodies: the former activated the speech analysis system as well as the remnants of his melody analysis system, building up a relatively elaborate neural network which facilitated memory formation. We can also understand why KB struggled to recall song melodies when they were played with the lyrics to a different melody. These would have caused interference in KB’s speech analysis system, which was being activated both by the words he was played and by the links to his melody analysis system, which was ‘recalling’ quite different lyrics. If his melody analysis system had been intact, then its activation would have been sufficient to overcome the interference, allowing recognition of both the melody and the lyrics, as was the case with the controls.
韵律和旋律轮廓
Prosody and melodic contour
KB 的中风对他的演讲产生了一个重大影响：它失去了语调的变化——力度、速度、音色等 第四 – 为语音注入情感内容并经常影响其含义。韵律，正如所谓的，听起来非常 像音乐一样，尤其是在夸张的时候，就像用来对幼儿讲话一样。它有一个音乐上的对应物 In Melodic Contour – 随着一段音乐的播放而升降音高的方式。我们已经看到韵律已经 在那些患有失语症或 amusia 的人中以不同的方式维持或丢失。然而，据报道 只不过是一个偶然的观察。因此，Isabelle Peretz 和她的同事在 1998 年发表的一项研究尤为重要，因为它明确试图 确定大脑中的同一神经网络是否处理句子韵律和旋律轮廓，或者是否独立 系统。11
KB’s stroke had one significant impact on his speech: it lost the variations in intonation – dynamics, speed, timbre and so forth – that infuse speech with emotional content and often influence its meaning. Prosody, as this is called, can sound very music-like, especially when exaggerated, as in the speech used to address young children. And it has a musical equivalent in melodic contour – the way pitch rises and falls as a piece of music is played out. We have already seen that prosody has been variously maintained or lost in those who have suffered from either aphasia or amusia. This has, however, been reported as little more than an incidental observation. Consequently, a study published in 1998 by Isabelle Peretz and her colleagues is particularly important because it explicitly attempts to identify whether the same neural network within the brain processes sentence prosody and melodic contour, or whether independent systems are used.11
这项研究检查了两个患有失眠症但感知能力似乎不同的人 语音中的韵律和音乐中的旋律轮廓：CN（如上所述）和 IR。和 CN 一样，IR 也是一位讲法语的女性，并且 她的左半球和右半球都有类似的脑损伤史。当 Peretz 检查时，他们是 分别是 40 岁和 38 岁，并且在 7 年前和 9 年前经历过脑损伤。双 患有失语症，到那时两人都没有足够严重的语言缺陷来保证失语症的诊断。
This study examined two individuals who were suffering from amusia but who appeared to differ in their abilities to perceive prosody in speech and melodic contour in music: CN (mentioned above) and IR. Like CN, IR was a French-speaking woman, and she had a similar history of brain damage in both left and right cerebral hemispheres. When examined by Peretz, they were forty and thirty-eight years old respectively, and had experienced their brain injuries seven and nine years previously. Both suffered from amusia, and by that time neither had sufficiently significant speech deficits to warrant the diagnosis of aphasia.
CN 在颞上回有双侧病变。她的智力和记忆能力与她的年龄相比是正常的，并且 教育，但听觉缺陷对她音乐处理的抑制程度比语言和环境要大得多 听 起来。Peretz 之前的研究已经确定了 CN 的主要缺陷是长期音乐记忆，与 GL 一样，感知 的调性。虽然她能听懂言语，但初步测试表明 CN 在判断语调方面受损 以及解释句子中的停顿位置。IR 对大脑两侧的损伤更大，最初遭受了 来自失语症和 amusia。她对语言的理解已经恢复了;她也具有正常的智力和记忆能力， 她能识别环境声音。但 IR 完全无法唱出哪怕一个孤立的音高。
CN had bilateral lesions on the superior temporal gyrus. She had normal intellectual and memory abilities for her age and education, but auditory deficits that inhibited her processing of music to a much greater extent than speech and environmental sounds. Previous studies by Peretz had established CN’s main deficits as long-term musical memory and, as with GL, the perception of tonality. Although she could understand speech, initial tests had suggested that CN was impaired in judging intonation and interpreting pause locations in sentences. IR had more extensive damage to both sides of the brain and had initially suffered from aphasia as well as amusia. Her understanding of speech had returned; she, too, had normal intellectual and memory abilities, and she could recognize environmental sounds. But IR was entirely unable to sing even an isolated single pitch.
Peretz 和她的同事设计了一套非常聪明的测试来检查 CN 和 IR 处理旋律的相对能力 轮廓和语音韵律。他们从 68 个口语句子开始，这些句子成对记录，词汇相同 但在韵律上有所不同，因此它们的含义也不同。例如，句子 'he want to leave now？' 首先作为一个问题说出来，强调最后一个词，然后作为一个陈述，'he want to leave now'。这些被称为 “question-statement” 对。还使用了 'focus-shift' 对，其中句子的强调 被更改 - 例如，“乘坐火车到布鲁日，安妮”与“乘坐火车到布鲁日，安妮”配对。每对句子的声学效果都使用计算机程序非常仔细地处理，以确保 它们的响度和时间是相同的。第三种类型的句子形成 'timing-shift' 对，其中位置 的停顿被改变了，以改变意思。例如，“Henry， the child， eats a lot”与“Henry， the 孩子吃得很多'。这些也受到响度的控制，但一对句子之间的音高变化可以 除非它们听起来很不自然，否则不会被删除。CN、IR 和 8 名年龄、音乐背景和教育程度相近的女性对照受试者 作为 CN 和 IR 的病史，但没有神经外伤史，这些句子成对播放，其中一些是 不同，有些相同。
Peretz and her colleagues designed a very clever set of tests to examine CN’s and IR’s relative abilities at processing melodic contour and speech prosody. They began with sixty-eight spoken sentences, recorded as pairs, that were lexically identical but differed in their prosody and hence their meaning. For instance, the sentence ‘he wants to leave now?’ was spoken first as a question, by stressing the final word, and then as a statement, ‘he wants to leave now’. These are known as ‘question-statement’ pairs. ‘Focus-shift’ pairs were also used, in which the emphasis of the sentence was altered – for example, ‘take the train to Bruges, Anne’ was paired with ‘take the train to Bruges, Anne’. The acoustics of each pair of sentences were very carefully manipulated using a computer program in order to ensure that they were identical in their loudness and timing. Sentences of a third type formed ‘timing-shift’ pairs, where the location of a pause was varied so as to alter the meaning. For instance, ‘Henry, the child, eats a lot’ was paired with ‘Henry, the child eats a lot’. These were also controlled for their loudness, but variation in pitch between the sentences of a pair could not be removed without them sounding quite unnatural. CN, IR and eight female control subjects of similar age, musical background and educational history as CN and IR but with no history of neurological trauma, were played pairs of these sentences, some of which were different and some identical.
测试的聪明部分是将每个句子翻译成一个旋律短语。由于疑问语句对 焦点转移对的响度和时间已经标准化，每对句子都构成了一对旋律 仅在音高轮廓上有所不同。在长度、响度和时间方面，它们与口语句子相同。 本质区别在于词汇内容已被删除，因此 'speech' 被翻译成 'music'。
The clever part of the test was then to translate each sentence into a melodic phrase. Since the question-statement pairs and the focus-shift pairs had already been standardized for loudness and timing, each pair of sentences formed a pair of melodies that differed only in pitch contour. In terms of length, loudness and timing, they were identical to the spoken sentences. The essential difference was that the lexical content had been removed so that ‘speech’ had been translated into ‘music’.
通过这个实验设计，Peretz 和她的同事们试图回答的问题是 CN 和 IR 是否会 证明在区分句子和旋律对是相同还是不同方面同样成功。如果是这样，则 这意味着使用单个神经网络来处理句子的韵律和旋律的音高轮廓。 如果他们能够识别句子的韵律，成功地识别句子是相同还是不同， 但无法处理 pitch contour，反之亦然，这意味着这些使用了不同的神经网络 语言和音乐的方面。在所有专门用于调查失语症和失语症的实验程序中，我 我知道，这无疑是设计最细致、执行最彻底的之一。
With this experimental design, the question that Peretz and her colleagues were seeking to answer was whether CN and IR would prove equally successful at distinguishing whether the sentence and the melody pairs were the same or different. If so, the implication would be that a single neural network is used to process the prosody of sentences and the pitch contour of melodies. If they were able to recognize the prosody of sentences, by successfully identifying whether they were the same or different, but unable to process pitch contour, or vice versa, the implication would be that different neural networks are used for these aspects of language and music. Of all the experimental procedures designated to investigate aphasia and amusia of which I am aware, this is undoubtedly one of the most meticulously designed and thoroughly executed.
结果确实非常引人注目。CN 在识别配对句子是否 成对旋律相同或不同，对于三类句子（陈述-问题、焦点-转移 和 timing-shift）。换句话说，她在语音韵律和音高轮廓的处理方面都相当正常。 这突出了导致她 amusia 的缺陷的特殊性——对旋律的长期记忆和对音调的感知。
The results were very striking indeed. CN performed as well as the control subjects at identifying whether paired sentences and paired melodies were the same or different, for each of the three classes of sentence (statement–question, focus-shift and timing-shift). She was, in other words, quite normal as regards the processing of both speech prosody and pitch contour. This highlighted the specificity of the deficits causing her amusia – long-term memory for melody and perception of tonality.
IR 的结果也很一致，她在任何试验中都明显无法正确回答，但她的表现 在陈述-问题对上明显优于焦点-转移和时间-转移对。与 CN 和对照组受试者，IR 既不能处理语音韵律，也不能处理音高轮廓。其他测试表明，这 不是由于无法检测到音高而引起的。IR 能够区分问题和陈述 以句子或旋律类似物的形式呈现。她还可以检测句子的哪个单词或旋律的哪个短语 的音调加重，停顿的位置。她似乎能够做的是保持说话模式 她短期记忆中的韵律和音高轮廓模式。
IR’s results were also consistent she showed a marked inability to answer correctly in any of the trials, but her performance on the statement-question pairs was significantly better than with the focus-shift and timing-shift pairs. In contrast to CN and the control subjects, IR could process neither speech prosody nor pitch contour. Additional tests showed that this did not arise from an inability to detect pitch. IR was able to discriminate between questions and statements when they were presented either as sentences or as melodic analogues. She could also detect which word of a sentence or phrase of a melody had an accentuated pitch, and where pauses were located. What she appeared to be able to do was to hold patterns of speech prosody and patterns of pitch contour in her short-term memory.
由于 CN 能够同时处理语音韵律和音高轮廓，而 IR 不能同时处理两者，因此 Peretz 和她的同事 得出结论，确实存在一个阶段，语言和 Of melody 的处理利用了一个单一的、共享的神经网络。 根据 IR 的特定缺陷，他们得出结论，该网络用于在短期内保持音高和时间模式 记忆。
As CN was able to process both speech prosody and pitch contour, while IR was able to process neither, Peretz and her colleagues concluded that there is indeed a stage at which the processing of language and Of melody utilize a single, shared neural network. From IR’s specific deficits, they concluded that this network is used for holding pitch and temporal patterns in short-term memory.
天生没有音乐
Born without music
在上一章中，我们研究了音乐专家 – 语言能力不足但出现 在音乐方面表现得非常正常，甚至出类拔萃。这样的孩子表明，两者之间存在一定程度的分离 语言和音乐从发育的早期阶段就存在于大脑中，而不是成人的财产 大脑。我们现在可以进行补充研究，那些天生就有严重音乐缺陷但仍然 就语言而言，这是很正常的。
In the previous chapter we considered musical savants – Children who are deficient in their language capacities but appear to be quite normal or even to excel with regard to music. Such children demonstrate that some degree of separation between language and music exists in the brain from the early stages of development, rather than this being a property of the adult brain alone. We can now undertake the complementary study, those who are born with severe musical deficiencies but are nevertheless quite normal with regard to language.
1878 年，哲学和心理学杂志《心灵》上发表了一篇文章，描述了一个 30 岁的男人“不知道一个音符和另一个音符”。12 它的作者格兰特·艾伦 （Grant Allen） 提出了“音符耳聋”一词来描述这种情况，认为它类似于“色盲”。 与我迄今为止讨论的 amusia 的病史不同，这个人（未透露姓名）没有受到任何脑损伤： 他从出生起就缺乏音乐能力。这并不是因为他不努力，因为他已经学会了唱歌 和钢琴课，这两者都被证明是完全不成功的。当艾伦对他进行一系列测试时，他被发现 完全无法区分钢琴上任何两个相邻的音符。当被要求演唱《天佑女王》时，艾伦 认为他唯一唱对的音符是偶然产生的。
In 1878 an article was published in the philosophy and psychology journal Mind that described a man of thirty who ‘does not know one note from another’.12 Grant Allen, its author, proposed the term ‘note-deafness’ for this condition, believing it to be analogous to ‘colour-blindness’. Unlike the case histories of amusia I have so far discussed, this man (who remained unnamed) had not suffered any brain damage: he had been deficient in musical ability from birth. This was not due to lack of effort on his part, for he had taken singing and piano lessons, both of which had proved entirely unsuccessful. When Allen undertook a series of tests on him, he was found to be quite unable to distinguish between any two adjacent notes on the piano. When asked to sing ‘God Save the Queen’, Allen thought that the only notes he sang correctly had come about by accident.
对象的听力很正常;他被描述为能够高度识别非音乐声音 的准确性——事实上，对于非音乐性的声音来说，它特别具有洞察力。当听小提琴时，他变得 被伴随着音调的“刮擦和啪啪声”分散了音符的注意力，而他则描述了 钢琴的声音是“一种音乐的音调，加上砰砰声和金属丝的声音”。
The subject’s hearing was quite normal; he was described as being able to recognize non-musical sounds with a high degree of accuracy – indeed, as being particularly perceptive in relation to non-musical sounds. When listening to a violin, he became distracted from the notes by the ‘scraping and twanging noises’ which necessarily accompany the tones, while he described the sound of a piano as ‘a musical tone, plus a thud and a sound of wire-works’.
他有一定的感知节奏的能力，因为他可以仅通过时间来识别一些曲调。他也能认出 一首曲子的一般特征 – 无论是活泼、明亮、温柔、庄严还是庄严 – 取决于它的响度 和节奏。但对他来说，任何依赖于格兰特·艾伦（Grant Allen）所说的“和声的微妙分配”的音乐都是 “绝对空白”。他被描述为说话的声音相当单调，几乎没有情绪化的语气。
Some ability to perceive rhythm was present, because he could identify some tunes by their timing alone. He could also recognize the general character of a piece – whether it was lively, bright, tender, solemn or majestic – by relying on its loudness and rhythms. But to him any music that depended on what Grant Allen described as a ‘delicate distribution of harmonies’ was ‘an absolute blank’. He was described as speaking in a rather monotonous voice, little modulated by emotional tones.
格兰特·艾伦 （Grant Allen） 对他的主题的描述在当时是一部杰出的作品，但不符合严格的实验要求 现代科学所需的标准。他 1878 年的论文现在读起来像是一篇有趣但轶事性的报告，而不是一篇系统的报告 研究，在接下来的 百年。甚至在 1948 年和 1980 年发表的两项大规模研究得出的结论是，英国人口的 4-5% 是 tone-de�，都被认为是不可靠的。13 由于缺乏系统的研究，整个情况受到了质疑;1985 年，一篇文章发表在 领先的音乐期刊，题为“音调失聪的神话”。14
Grant Allen’s description of his subject was an outstanding piece of work for its day, but does not meet the rigorous experimental standards required in modern-day science. His 1878 paper now reads as an interesting but anecdotal report rather than a systematic study, and this is also the case with further reports of supposedly note-deaf or tone-deaf people that appeared over the next hundred years. Even two large-scale studies published in 1948 and 1980, which concluded that 4-5 per cent of the British population was tone-deaf, have been deemed unreliable.13 Such was the lack of systematic study that the whole condition came into question; in 1985 an article was published in a leading music journal entitled ‘The myth of tone deafness’.14
然而，这本身在 2002 年被证明是一个神话，当时第一个完整记录和严格研究的案例被公布 一个从出生起就耳聋的人，这种病症现在被描述为“先天性失语”。“先天性”一词与众不同 这个人的 AMUSIA 是由脑损伤引起的，这被称为“获得性 AMUSIA”。领先的科学家 这项研究的负责人是伊莎贝尔·佩雷茨 （Isabelle Peretz），她只是为那些认为自己天生耳聋的志愿者做广告。一个大 收到了回复数量，并采访了 100 人。从中，选择并测试了一小部分 其中 22 人表现出明确的 amusia 迹象，并满足被视为先天性 条件。首先，他们必须达到高水平的教育水平，以防止他们的 amusia 是一般学习困难的结果;其次，他们必须在童年时上过音乐课，以便 确保他们的 AMUSIA 不是由于对音乐的有限接触而引起的。第三，他们被要求患有 从他们记事起就一直存在，从而增加了它从出生就存在的可能性。最后，他们 必须没有神经或精神疾病史。在符合这些标准的 22 名受试者中， 最明显的案例是莫妮卡，一位四十出头的讲法语的女人。15
However, that was itself shown to be a myth in 2002, when the first fully documented and rigorously studied case was published of someone who had been tone-deaf since birth, a condition now described as ‘congenital amusia’. The word ‘congenital’ distinguished this person’s amusia from that arising from brain damage, which is referred to as ‘acquired amusia’. The leading scientist of the study was Isabelle Peretz, who simply advertised for volunteers who believed that they had been born tone-deaf. A large number of responses was received and 100 people were interviewed. From these, a smaller number were selected and tested, of whom twenty-two showed unambiguous signs of amusia and fulfilled four necessary criteria for it to be considered a congenital condition. First, they had to have achieved a high level of educational attainment, in order to guard against their amusia being a consequence of general learning difficulties; secondly, they had to have had music lessons in childhood, so as to ensure that their amusia had not arisen from limited exposure to music. Thirdly, they were required to have suffered from amusia for as long as they could remember, thus increasing the likelihood that it had been present from birth. Finally, they had to have had no history of neurological or psychiatric illness. Of the twenty-two subjects who met these criteria, the most clear-cut case was that of Monica, a French-speaking woman in her early forties.15
莫妮卡是一位受过良好教育的女性，她当了多年的护士，正在攻读心理健康硕士学位 当她回应广告时。音乐对莫妮卡来说总是像噪音，她从来不会唱歌 或跳舞。当社会压力迫使她加入教堂合唱团和学校乐队时，她经历了巨大的压力和尴尬。
Monica was a well-educated woman who had worked for many years as a nurse and was taking a master’s degree in mental health when she responded to the advertisement. Music had always sounded like noise to Monica and she had never been able to sing or dance. When social pressure forced her to join a church choir and school band she experienced great stress and embarrassment.
Peretz 和她的同事对 Monica 进行了与他们对脑损伤患者相同的一系列测试，测量 她与其他年龄和教育程度相似但音乐能力正常的女性的表演。大多数测试是 基于识别成对旋律是相同还是不同的，研究人员操纵其中一些旋律以探索莫妮卡是否能够识别音高轮廓和音程的变化。她不能。也不 她能感知到节奏的变化吗？当她被要求区分时，她确实表现出了一些识别不同米的能力 在华尔兹和进行曲的旋律之间，但即使在这里，她也只在 30 次尝试中的 19 次中正确。
Peretz and her colleagues subjected Monica to the same battery of tests that they used on their brain-damaged patients, measuring her performance against other women of a similar age and education but of normal musical ability. The majority of tests were based around identifying whether pairs of melodies were the same or different, with the investigators manipulating some of them in order to explore whether Monica could recognize changes in pitch contour and intervals. She could not. Neither could she perceive changes in rhythm. She did show some ability to recognize different metres when she was asked to discriminate between melodies that were waltzes and marches, but even here she was only correct in nineteen out of thirty attempts.
与上述其他 amusia 患者一样，Monica 无法识别熟悉的旋律。因为她相当熟练 在从他们的声音中识别出熟悉的说话者时，这不能用听力、记忆力差或注意力不集中来解释。16 与 CN 和 IR 相同的方法表明，尽管 Monica 无法区分音高，但她可以 识别语音语调。
As with the other amusia sufferers described above, Monica was unable to identify familiar melodies. Since she was quite adept at identifying familiar speakers from their voices, this could not be explained by poor hearing, memory or inattentiveness.16 The same methods used with CN and IR demonstrated that although Monica was unable to distinguish musical pitch, she could recognize speech intonation.
莫妮卡 （Monica） 能够欣赏语音语调，但无法监控音高轮廓，这是最有趣的功能之一 Peretz 的研究结果。这一发现与 IR 的情况不同，IR 既不能处理韵律，也不能处理音高 等高线和 CN 的 CN 可以同时处理两者。然而，与 Monica 不同的是，IR 和 CN 都可以区分投球（IR 缺陷在于将这些维持在短期记忆中）。莫妮卡处理韵律的能力可能只是反映了 语音中存在的音调变化大于旋律 或者，它可能是由组合刺激引起的 音调变化和单词，就像上面讨论的几个脑损伤受试者能够更好地识别一样 歌曲而不是器乐旋律。
Monica’s ability to appreciate speech intonation while being unable to monitor pitch contour is one of the most interesting findings to emerge from Peretz’s study. This finding differs from the cases of IR, who could process neither prosody nor pitch contour, and of CN, who could process both. Unlike Monica, however, both IR and CN could discriminate between pitches (IR’s deficit lay in maintaining these in short-term memory). Monica’s ability to process prosody might simply reflect the much larger variations in pitch that are present in speech than in melodies Alternatively, it might result from the combined stimuli of both pitch change and words, just as several of the brain-damaged subjects discussed above were better able to recognize songs than instrumental melodies.
Peretz 和她的同事得出结论，莫妮卡先天性失眠的根源在于她无法检测到变异 在音高上，这导致所有音乐听起来单调。他们觉得她无法通过节奏来区分旋律 是次要影响，是由于她的音乐系统由于无法检测到音高而无法发展而引起的。
Peretz and her colleagues concluded that the root of Monica’s congenital amusia lay in her inability to detect variations in pitch, which caused all music to sound monotonous. They felt that her inability to discriminate melodies by their rhythm was a secondary effect, arising from the failure of her musical system to develop owing to the inability to detect pitch.
但不仅仅是莫妮卡：还有十个人对广告做出了回应，并表现出同样的先天性失眠 因为 Monica 也被发现缺乏检测音高变化的能力，尽管有些人保持了有限的 欣赏节奏的能力。17 所有人都能从他们的言语中识别出知名人士，识别出常见的环境噪音，除了一个例外，都能识别出 听到第一句歌词时熟悉的歌曲。和莫妮卡一样，他们的疾病完全是特定于音乐的。
But it was not just Monica: ten more of those who had responded to the advertisement and showed the same congenital amusia as Monica were also found to be deficient in their ability to detect variations in pitch, although some maintained a limited ability to appreciate rhythm.17 All could identify well-known people from their speech, recognize common environmental noises and, with one exception, identify familiar songs on hearing the first lyrics. Like Monica, their disorder was entirely music-specific.
这项先天性失恋的小组研究证实，仍然可以识别语音语调的模式;先天性 AMUSIA 具有与一组对照对象相同的识别口语语调和韵律的能力。但是当 语言信息被删除，只留下句子的声学波形，即组的成功率 与 AMUSIA 显着减少。因此，他们在韵律任务上的成功似乎取决于是否有单词线索来支持句子之间的区分。这听起来与 歌词在 KB 的情况下对旋律识别的帮助。
This group study of congenital amusia confirmed that patterns of speech intonation could still be recognized; those with congenital amusia had the same ability to recognize intonation and prosody in spoken language as a set of control subjects. But when the linguistic information was removed, leaving just the acoustic waveform of the sentence, the success rate of the group with amusia was significantly reduced. So their success at the prosody tasks appears to have been dependent upon having the word cues to support discrimination between sentences. This sounds very similar to the aid that lyrics gave to melody recognition in the case of KB.
与单独对莫妮卡的研究一样，Peretz 和她的同事得出结论，先天性失眠的根本原因是 识别音高的能力缺陷。他们承认，他们的大多数受试者都患有音乐剧方面的缺陷 看似与音高无关的能力，例如对旋律的记忆、通过节奏区分旋律的能力以及 以保持时间。但这些被认为是潜在无法识别音高的次要或“级联”效应，其中 抑制了大脑内整个音乐系统的发展。18
As with the study of Monica alone, Peretz and her colleagues concluded that the underlying cause of congenital amusia was a defect in the ability to recognize pitch. They acknowledged that most of their subjects suffered from deficiencies in musical abilities seemingly unrelated to pitch, such as memory for melodies, the discrimination of melodies by rhythm, and the ability to keep time. But these were thought to be secondary or ‘cascade’ effects of an underlying inability to recognize pitch which had inhibited the development of the whole musical system within the brain.18
5 音乐和语言的模块化
5 The modularity of music and language
大脑内的音乐处理
Music processing within the brain
前两章中描述的案例历史表明，处理语言和音乐的神经网络 彼此之间有一定程度的独立性;有可能失去或永远不会发展其中任何一个，同时留下来 相对于另一个人来说，这是很正常的。1 用专业术语来说，它们表现出双重分离，这要求我们将语言和音乐视为分开的 认知领域。此外，很明显，语言和音乐都是由一系列心理模块构成的。这些 也有一定程度的独立性，因此一个人可以在一个特定领域获得或天生就有缺陷 音乐或语言处理，但在其他方面则没有。然而，模块化音乐和语言系统的分离并非如此 complete，因为多个模块（如 prosody）似乎在两个系统之间共享。
The case histories described in the two previous chapters indicate that the neural networks that process language and music have some degree of independence from each other; it is possible to lose’ or never to develop one of them while remaining quite normal in respect to the other.1 To use the technical term, they exhibit double dissociation, and this requires us to consider language and music as separate cognitive domains. Moreover, it is apparent that both language and music are constituted by a series of mental modules. These also have a degree of independence from one another, so that one can acquire or be born with a deficit in one specific area of music or language processing but not in others. The separation of the modular music and language systems, however, is not complete, as several modules, such as prosody, appear to be shared between two systems.
Isabelle Peretz 得出结论，大脑中音乐模块的结构如图 5 所示。每个框代表 处理组件，其中一些组件与语言系统共享，以灰色显示。箭头表示 模块之间信息流的路径。音乐系统中的认知缺陷可能是由于以下原因造成的 一个或多个模块，或者来自模块之间的一个或多个通路的抑制。
Isabelle Peretz has concluded that the structure of music modules in the brain is as illustrated in Figure 5. Each box represents a processing component, some of which are shared with the language system, which is shown in grey. The arrows represent the pathways of information flow between the modules. A cognitive deficit in the music system might arise from the failure of one or more modules, or from the inhibition of one or more pathways between modules.
在这个模型中，任何声学刺激最初都在一个模块中处理，然后传递给与语音相关的模块。 音乐和环境声音。然后，这些模块中的每一个都会提取它可以响应的信息。因此，例如，如果 你听到歌曲《生日快乐》，语言系统会提取歌词，音乐系统会提取旋律， 环境音响系统将分离出其他声音，例如呼吸声和背景噪音。这 音乐系统实际上由两组模块组成，一组负责提取音高内容（Pitch Contour、 音高间隔和音调编码），另一个具有时间内容（节奏和节拍）。音高和时间模块都通过音乐词典（音乐短语的记忆库）和情感来过滤它们的输出 表达分析模块。
In this model, any acoustic stimulus is initially processed in one module and then passed to the modules concerned with speech, music and environmental sounds. Each of these modules then extracts the information to which it can respond. So if, for instance, you hear the song ‘Happy Birthday’, the language system will extract the lyrics, the music system will extract the melody, and the environmental sound system will separate out additional sounds such as intakes of breath and background noise. The music system is, in fact, constituted by two groups of modules, one concerned with extracting the pitch content (pitch contour, pitch intervals and tonal encoding) and the other with temporal content (rhythm and metre). Both the pitch and the temporal modules filter their output through the musical lexicon – a memory bank of musical phrases – and the emotional expression analysis module.
图 5音乐处理的模块化模型。每个框表示一个处理组件，箭头表示路径 处理组件之间的信息流。神经异常可能会损坏加工组件或干扰 处理组件之间的信息流。其域似乎特定于 music 的所有组件都是 显示为深色，其他显示为浅色。斜体字有三个神经独立组成部分——节律分析、 仪表分析和情感表达分析——其对音乐的特异性目前尚不清楚。
Figure 5 A modular model of music processing. Each box represents a processing component, and the arrows represent pathways of information flow between processing components. A neurological anomaly may either damage a processing component, or interfere with the flow of information between processing components. All components whose domains appear to be specific to music are shown with a dark tint, others in a lighter tint. There are three neurally individuated components in italics – rhythm analysis, meter analysis and emotion expression analysis – whose specificity to music is currently unknown.
如果您决定加入歌曲 'Happy Birthday'，那么旋律将作为音乐词典的输出提供 模块，这将与语言词典的输出相结合，从而产生歌唱。另一方面，如果你 只需要回忆一下这首歌的一些内容，输出就会被发送到 Peretz 所描述的 associative memories 模块。与此同时，音高和时间模块的输出将被定向到表情分析模块，这将使您能够识别情绪的类型 由音乐的速度、响度和音高轮廓来表示。
If you decide to join in with the song ‘Happy Birthday’, then the melody will be provided as output from the musical lexicon module, and this will be combined with output from the language lexicon, resulting in singing. If, on the other hand, you were simply required to recall something about the song, the output would be sent to what Peretz describes as the associative memories module. In parallel with this, outputs from the pitch and temporal modules would be directed to the expression analysis module, which would enable you to recognize the type of emotion being expressed by the tempo, loudness and pitch contours of the music.
大脑中音乐的这种结构解释了我们在前两章中遇到的各种缺陷。 从广义上讲，那些有音乐能力但没有语言能力的人在他们的语言模块中有一些抑制，但是 在那些拥有音乐的人中不是这样，而相反，对于那些拥有语言但没有音乐能力的人来说是正确的。我们可以做得更多 在某些情况下是特定的。NS，那个唱歌听起来像喊叫的人，显然在他的音调内容中受到了抑制 模块和他的关联记忆模块，但似乎有一个功能齐全的时间内容模块。相比之下， 在 GL 的情况下，似乎唯一被抑制的是他的音调编码子模块，因为他仍然能够处理音高 音程、音高轮廓、节奏和节拍。KB 这位业余音乐家对他来说已经失去了音乐的意义，他似乎已经失去了音乐的意义 他的音乐词典部分但并非完全受到抑制，因此它与语言词典的联系刚刚好足够 可以调用曾经与歌词关联的旋律。
This architecture for music in the brain explains the diverse range of deficits we have encountered in the previous two chapters. In broad terms, those who have a capacity for music but not for language have some inhibitions in their language modules but not in those for music, while the converse is true for those who possess language but not musical abilities. We can be more specific in certain cases. NS, the man for whom singing sounded like shouting, was evidently inhibited in his pitch content module and his associative memories module, but appears to have had a fully functional temporal content module. In contrast, all that appears to have been inhibited in GL’s case was his tonal encoding sub-module, for he was still able to process pitch interval, pitch contour, rhythm and metre. KB, the amateur musician for whom music had lost its meaning, appears to have had his musical lexicon partly but not entirely inhibited, so that its connection with the language lexicon was just sufficient to enable the recall of melodies once associated with lyrics.
大脑中的音乐模块在哪里？
Where are the music modules within the brain?
如果大脑中的音乐系统像 Peretz 所说的那样由一系列相对离散的模块构成，那么有可能吗 来确定它们的位置？尝试这样做会引出几个问题。首先，它假设神经网络 构成音乐模块的模块位于大脑的空间离散区域内。情况不一定如此，因为 神经网络可能非常广泛地分布在整个大脑中，即使它们承担特定任务。事实上 即使有一个空间离散的神经模块映射到音乐模块上，它也不需要位于同一个地方 在每个人的大脑中。进化可能已经对大脑进行了“编程”，使其开发用于音乐的神经网络，但没有具体说明 他们在哪里，这可能在很大程度上取决于相关个人。我们知道，有些人，例如 作为 NS，大脑右侧语言的神经网络比例大于左侧大脑，并且 大脑可塑性对音乐神经网络位置的可塑性程度可能要大得多。或者不是。我们只是 不知道。
If the music system in the brain is constituted by a series of relatively discrete modules as Peretz suggests, is it possible to identify where they are located? To attempt to do so begs a couple of questions. First, it assumes that the neural networks that constitute a music module are located within a spatially discrete area of the brain. This need not be the case, as the neural networks might be very widely distributed throughout the brain even though they undertake a specific task. Indeed, even if there is a spatially discrete neural module that maps onto a music module, it need not be located in the same place in each individual’s brain. Evolution may have ‘programmed’ the brain to develop neural networks for music without specifying where they are to be located, which might be highly dependent upon the individual concerned. We know that some people, such as NS, have a greater proportion of their neural networks for language on the right side of the brain than on the left, and the extent of brain plasticity for the location of neural networks for music might be considerably greater. Or not. We simply do not know.
尽管如此，从我们研究的案例研究中可以明显看出一些粗略的模式。那些患有失眠症的受试者 在保持他们的言语能力和识别环境噪音和声音的能力的同时，往往具有 他们的左右颞叶都有病变。关键的例外是 Massimo Piccirilli 和他的同事研究的未透露姓名的患者，其病变位于左颞上回。他的左撇子也很出色， 这表明他大脑的大部分组织方式可能与大多数人不同。主题 在失去其他听觉能力的同时保持音乐能力的人往往在他们的右侧有病变 仅颞叶。
Nevertheless, some gross patterns are apparent from the case studies we have examined. Those subjects who suffered from amusia while maintaining their capacity for speech and their abilities to identify environmental noises and voices, tended to have lesions in both their right and left temporal lobes. The key exception was the unnamed patient studied by Massimo Piccirilli and his colleagues, whose lesion was located in the left superior temporal gyrus. He was also exceptional in being left-handed, suggesting that large parts of his brain may have been organized in a different way from the majority of people. The subjects who maintained their musical abilities while losing their other auditory abilities tended to have lesions within their right temporal lobes alone.
Isabelle Peretz 本人对在识别神经网络位置方面取得的进展感到相当沮丧 用于音乐。在 2003 年的一篇文章中，她写道：
Isabelle Peretz herself is rather despondent about the progress that has been made in identifying the location of neural networks for music. In a 2003 article she wrote:
…全人类音乐的类似大脑组织的证明仍然难以捉摸......在我看来，唯一的共识 今天已经达到了关于音乐关注音高轮廓处理的大脑组织。绝大多数 的研究指出，大脑右侧的颞上回和额叶区域是负责的区域 用于处理间距轮廓信息。然而，这种机制是否是特定于音乐的还有待确定，因为 语音的语调模式似乎招募了位置相似（如果不是相同的）大脑回路。阿拉伯数字
… the demonstration of a similar brain organization for music in all humans remains elusive … In my view, the only consensus that has been reached today about the cerebral organization underlying music concerns pitch contour processing. The vast majority of studies point to the superior temporal gyrus and frontal regions on the right side of the brain as the responsible areas for processing pitch contour information. However, it remains to be determined if this mechanism is music-specific, since the intonation patterns for speech seem to recruit similarly located, if not identical, brain circuitries.2
她的最后一点，关于用于语音和音乐任务的神经网络之间的明显重叠，是最 重要但仍未解决的问题。圣地亚哥神经科学研究所（Neurosciences Institute）的阿尼鲁德·帕特尔（Aniruddh Patel）曾与佩雷茨合作过 在几项研究中，还希望确定音乐模块在大脑中的位置。当然，正是在这里 脑成像方法具有巨大的价值——不仅用于定位病变，而且用于检查人们的大脑活动 实际上从事制作或听音乐。3 帕特尔注意到这些研究中出现了一个奇怪的结果：尽管病变研究表明音乐和语言 能力可以部分或全部解离，脑成像研究表明它们确实共享相同的神经 网络。这个明显的矛盾仍有待解决。4
Her final point, about the apparent overlap between the neural networks used for speech and music tasks, is one of the most important, but still unresolved, issues. Aniruddh Patel, of the Neurosciences Institute in San Diego, has worked with Peretz on several studies and also wishes to pinpoint the location of music modules within the brain. It is here, of course, that brain-imaging methods have been of immense value – not just for locating lesions but for examining brain activity while people are actually engaged in making or listening to music.3 Patel has noted a curious result emerging from these studies: although the lesion studies have shown that music and language capacities can be partially or entirely dissociated, the brain-imaging studies suggest that they do share the same neural networks. This apparent contradiction remains to be resolved.4
布罗卡区和音乐句法的处理
Broca’s area and the processing of musical syntax
为了说明大脑成像中出现的相当令人困惑的画面，我们可以简要考虑一下 Burkhard 最近的一项研究 Maess 和他的同事在莱比锡的马克斯·普朗克认知神经科学研究所。5 他们对大脑处理语音和音乐句法的方式进行了 MEG 研究（MEG 是大脑成像 方法，该方法依赖于检测活跃神经元产生的微小磁场）。虽然没有人质疑 语音语法的存在和性质，是否与音乐有等价物尚不清楚（如上一章所讨论的）。音调知识可能是音乐中最接近语法的——因为尽管严格的规则很明显 在 Language Syntax do not apply 中，声调知识会产生对哪些音高将相互跟随的期望，尤其是 当一首音乐走到尽头时。Maess 和他的同事采用了这种方法，解释谐波的不协调 在音乐中等同于语音中的语法不一致。
To illustrate the rather confusing picture that is emerging from brain imaging we can briefly consider a recent study by Burkhard Maess and his colleagues at the Max Planck Institute of Cognitive Neuroscience in Leipzig.5 They undertook an MEG study of the way in which the brain processes syntax in speech and music (MEG being the brain-imaging method that relies on detecting the tiny magnetic fields that are produced by active neurons). While no one questions the existence and nature of speech syntax, whether there is an equivalent for music is unclear (as discussed in the previous chapter). Tonal knowledge is probably the closest that music comes to having a syntax – for although the rigid rules apparent in language syntax do not apply, tonal knowledge creates expectations about what pitches will follow each other, especially when a piece of music comes to its end. Maess and his colleagues adopted this approach, interpreting harmonic incongruities in music as the equivalent of grammatical incongruities in speech.
他们实验的参与者都是非音乐家，他们听的是符合音调规则的和弦序列 音乐。随着序列的播放，和弦在听众中产生了对接下来应该出现哪些和弦的期望。梅斯 然后引入意想不到的和弦，那些不符合西方音乐规则的和弦，并使用 MEG 成像来测量 由此引起的大脑活动变化。如果一个大脑区域变得比以前更活跃，那么那就是 可能是处理音乐句法的地方。Maess 发现这确实发生了，而且该地区是 与处理语音语法的 – Broca 区域相同。
The participants in their experiments, all non-musicians, listened to chord sequences that conformed to the rules of tonal music. As a sequence was played, the chords created expectations in the listeners as to which chords should come next. Maess then introduced unexpected chords, ones that did not conform to the rules of Western music and used MEG imaging to measure the changes in brain activity that this caused. If one brain area became more active than it had been before, then that was likely to be where musical syntax was being processed. Maess found that this did indeed happen, and that the area was the same as that in which speech syntax is processed – Broca’s area.
自 Paul Broca 最初的病变研究以来，我们了解到语音语法不仅在 Broca 区域（一个区域）进行处理 的左额叶，但也在右大脑半球的等效面积，尽管这相对较少 重要。正如 Maess 所描述和研究的那样，音乐句法似乎是在这些相同的区域处理的，尽管在 右半球而不是左半球似乎更重要。Maess 得出结论，这些大脑区域 通常可能涉及基于规则的复杂信息的处理，而不是局限于规则 任何单个特定活动，例如语言。
Since Paul Broca’s original lesion study, we have learnt that speech syntax is processed not only in Broca’s area, a region of the left frontal lobe, but also in the equivalent area of the right cerebral hemisphere, although this is relatively less important. Musical syntax, as described and studied by Maess, appears to be processed in these same areas, although that in the right rather than the left cerebral hemisphere seems to be the more important. Maess concludes that these brain areas might be involved in the processing of complex rule-based information in general, rather than being restricted to the rules of any single specific activity such as language.
大脑中音乐处理的分布式性质
The distributed nature of music processing in the brain
由德克萨斯大学的劳伦斯·帕森斯 （Lawrence Parsons） 领导的团队承担了最有趣，当然也是最雄心勃勃的任务 大脑中音乐处理的研究计划。6 他们对那些从事听音乐、阅读乐谱、 演奏乐器或同时进行其中两项活动。（PET 是测量 大脑内的血液流动，基于活跃的神经元需要增强的氧气供应，因此需要增加血液流动的事实。
A team led by Lawrence Parsons of the University of Texas has undertaken the most interesting and certainly the most ambitious research programme into music processing in the brain.6 They have carried out numerous PET studies of people who are either engaged in listening to music, reading musical scores, playing musical instruments or undertaking two of these activities simultaneously. (PET is the brain-imaging method that measures the flow of blood within the brain, based on the fact that active neurons need an enhanced oxygen supply and hence blood flow.)
一组实验涉及专业音乐家，他们弹钢琴，同时通过 PET 扫描创建他们的大脑图像 活动。他们首先被要求根据记忆弹奏一组音阶，从而排除任何可能 读取分数的结果。使用了双手，因此大脑两侧都可以进行活动。然后他们被问到 演奏（再次凭记忆）巴赫的一首曲子，该曲子将旋律和节奏引入音乐表演中，同时使用基本相同的运动过程。
One set of experiments involved professional musicians, who played the piano while a PET scan created an image of their brain activity. They were first asked to play a set of musical scales from memory, thus excluding any brain activity that might result from reading a score. Both hands were used, so activity was expected on both sides of the brain. They were then asked to play (again from memory) a piece by Bach, which introduced melody and rhythm into the musical performance while using essentially the same motor processes.
尽管两组大脑图像都显示颞叶活动，但当巴赫 正在播放。涉及的颞叶区域也存在差异。激活的秤 两个大脑半球的中颞区，但左侧的强度大于右侧。相比之下， 巴赫激活了上颞区、中颞区和下颞区，更强调右侧而不是左侧。
Although both sets of brain images showed activity in the temporal lobes, this was considerably more intense when the Bach was being played. There were also differences in the areas of the temporal lobes that were involved. The scales activated the middle temporal areas of both cerebral hemispheres, but with greater intensity on the left than on the right. In contrast, the Bach activated the superior, middle and inferior temporal areas, with greater emphasis on the right than on the left.
这个实验还有一个更进一步且非常出乎意料的结果。每当右颞上回激活时 因此，巴赫的演奏也是左小脑的一部分;左颞区的激活同样相关 在右小脑中活动，尽管这一发现不太稳健。这些结果很有趣，因为它们显示了 小脑的作用不仅仅是运动控制。此外，用于音乐处理的神经网络显然 延伸到大脑皮层之外，进入大脑中具有更长进化历史的部分。
This experiment had a further and quite unexpected result. Whenever the right superior temporal gyrus was activated during the playing of Bach, so, too, was part of the left cerebellum; and activation of the left temporal area was likewise correlated with activity in the right cerebellum, although this finding was less robust. These results are interesting because they show that the cerebellum has roles other than just that of motor control. Moreover, the neural networks for music processing evidently extend beyond the cerebral cortex and into parts of the brain that have had a much longer evolutionary history.
Parsons 和他的同事还使用 PET 来识别大脑中处理和声、旋律和节奏的那些部分。 他们的研究包括扫描八位音乐家的大脑，这些音乐家在阅读时听计算机生成的巴赫合唱团 相应的分数。在选定的试验中，错误被故意引入音乐中，影响了和声， 节奏或合唱的旋律。在单独阅读乐谱和聆听乐谱时，还会对音乐家的大脑进行扫描 仅向无错误的音乐致敬。通过比较在不同条件下制作的大脑图像集，Parsons 和他的同事们 能够得出关于大脑的哪些部分参与处理音乐的每个组成部分的结论。
Parsons and his colleagues have also used PET to identify those parts of the brain that process harmony, melody and rhythm. Their studies involved scanning the brains of eight musicians who listened to computer-generated Bach Chorales while reading the corresponding scores. On selected trials, errors were deliberately introduced into the music, affecting the harmony, the rhythm or the melody of the Chorale. Scans were also made of the musicians’ brains when reading scores alone, and when listening to error-free music alone. By comparing the sets of brain images made under different conditions, Parsons and his colleagues were able to draw conclusions about which parts of the brain were involved in processing each component of the music.
正如人们所料，他们发现每项测试都会在大脑的许多分散部分引发神经元活动。 但发现了一些差异。虽然旋律在同等程度上激活了两个大脑半球，但需要和声 左半球而不是右半球的活动更多，而 Rhythm 激活的小脑以外的大脑区域很少。 旋律和和声也激活了小脑的区域，但强度明显低于节奏产生的强度。
As one might expect, they found that each test provoked neuronal activity in numerous and distributed parts of the brain. But some differences were detected. While melody activated both cerebral hemispheres to an equal extent, harmony required more activity in the left rather than the right hemisphere, whereas rhythm activated few brain areas outside of the cerebellum. Melody and harmony activated areas of the cerebellum, too, but with significantly less intensity than that produced by rhythm.
尽管每个音乐成分都激活了额叶皮层，但焦点各不相同：对于节奏，它是 额叶皮层激活最强烈;对于旋律来说，它是次等区域;为了和谐，它在 之间。帕森斯将这种活动的传播解释为“将音符翻译成抽象的运动听觉代码”。节奏、和声和旋律在颞叶皮层中产生的活动也存在差异，就特定的 激活的区域以及左和右活动的相对程度。
Although each musical component activated the frontal cortex, the focus varied: for rhythm it was the superior region of the frontal cortex that was most strongly activated; for melody it was the inferior region; and for harmony it was somewhere in between. Parsons interpreted the spread of such activity as ‘translating notes to abstract motor-auditory codes’. There were also differences in the activity that rhythm, harmony and melody generated in the temporal cortex, in terms of the specific regions activated and the relative degrees of left and right activity.
Parsons 和他的同事进行了进一步的研究，研究了音高的处理并比较了专业音乐家 与非音乐家合作。音高处理主要被发现可以激活非音乐家的右上颞区， 但在 musicians 中左侧的等效区域。在处理节奏时，发现音乐家的 颞叶和小脑的大脑活动程度高于非音乐家。
Parsons and his colleagues have conducted further studies, examining the processing of pitch and comparing professional musicians with non-musicians. Pitch processing was found principally to activate the right superior temporal area in non-musicians, but the equivalent area on the left in musicians. When processing rhythm, musicians were found to have a relatively lower degree of brain activity in the temporal lobe and cerebellum than non-musicians.
Parsons 和他的团队得出的总体结论是，用于处理音乐的神经网络分布广泛 整个大脑 – 其他脑成像研究证实了这一发现。病变的含义研究 用于处理音高和节奏的网络彼此不同已得到证实，并且产生了强有力的证据表明 音乐神经网络的位置和活动在音乐家和非音乐家的大脑中是不同的。这最后 发现并不奇怪——大脑具有高度的可塑性，它必须经过长时间的练习来塑造 以及音乐家获得的技能。我们现在必须转向那个塑造过程：语言的发展 以及童年的音乐能力。
The overall conclusion drawn by Parsons and his team was that the neural networks for processing music are widely distributed throughout the brain – a finding confirmed by other brain-imaging studies. The implication of the lesion studies that the networks for processing pitch and rhythm are distinct from each other was confirmed, and strong evidence was produced that the location and activity of the neural networks for music differ within the brains of musicians and non-musicians. This last finding is hardly surprising – the brain has a high degree of plasticity, and it must be moulded by the many hours of practice and the skills acquired by a musician. And it is to that moulding process that we must now turn: the development of language and musical abilities during childhood.
6 与婴儿交谈和唱歌
6 Talking and singing to baby
大脑成熟、语言学习和完美音调
Brain maturation, language learning and perfect pitch
对脑部病变患者的研究表明，语言和音乐的处理具有一定程度 在大脑内彼此独立。但病变和脑成像研究均未表明一个系统 必然是他者的衍生物，因此我们朝着音乐和语言的进化情景迈进的步伐是 有点受阻。然而，有一个证据来源表明，音乐即使不是进化的，也具有发展性的、 优先于语言。这是现存最令人愉快的证据来源之一，我很羡慕那些奉献的人 他们的工作生活到它的书房。幸运的是，几乎每个人都有一些第一手经验，因为我们生成了 我们自己证明：这是我们与语言前儿童进行声音交流的方式。
Studies of people who have suffered brain lesions have established that the processing of language and music have a degree of independence from each other within the brain. But neither lesion nor brain-imaging studies indicate that one system is necessarily derivative of the other, and hence our progress towards an evolutionary scenario for music and language has been somewhat stymied. There is, however, a source of evidence that suggests that music has a developmental, if not evolutionary, priority over language. This is one of the most delightful sources of evidence that exists and I am envious of those who devote their working lives to its study. Fortunately, practically everybody has some first-hand experience because we generate the evidence ourselves: it is the manner in which we communicate vocally with pre-linguistic children.
婴儿是天生的音乐家
Infants are born musicians
“婴儿语”、“母亲语”和“婴儿导向的语音”（IDS） 都是用来表示我们非常独特的方式的术语 与尚未获得完全语言能力的婴儿交谈 - 即从出生到三岁左右。 IDS 的一般特征是众所周知的：更高的整体音高、更宽的音高范围、更长的“超关节” 元音和停顿、更短的短语和比针对年龄较大的儿童和成人的语音更多的重复。
‘Baby-talk’, ‘motherese’ and ‘infant-directed speech’ (IDS) are all terms used for the very distinctive manner in which we talk to infants who have not yet acquired full language competence – that is, from birth up until around three years old. The general character of IDS will be well known to all: a higher overall pitch, a wider range of pitch, longer ‘hyperarticulated’ vowels and pauses, shorter phrases and greater repetition than are found in speech directed to older children and adults.
我们这样说话是因为人类婴儿表现出对 的节奏、节奏和旋律的兴趣和敏感性 在他们能够理解单词的含义之前很久就说话了。从本质上讲，通常的旋律和节奏特征 的口语 – 韵律 – 被高度夸大了，因此我们的话语具有明确的音乐特征。是的 史蒂文·平克 （Steven Pinker） 声称借用的语言韵律元素背后的“心理机制”是为了 创造我们的音乐能力。但 IDS 的证据表明，他对语言和音乐的看法是颠倒的：在儿童发展的基础上，语言的神经网络似乎是建立在或复制的基础上的 那些用于音乐。
We talk like this because human infants demonstrate an interest in, and sensitivity to, the rhythms, tempos and melodies of speech long before they are able to understand the meanings of words. In essence, the usual melodic and rhythmic features of spoken language – prosody – are highly exaggerated so that our utterances adopt an explicitly musical character. It is the ‘mental machinery’ underlying the prosodic elements of language that Steven Pinker claims has been borrowed in order to create our musical ability. But the evidence from IDS suggests that his view of language and music is topsy-turvy: on the basis of child development, it appears that the neural networks for language are built upon or replicate those for music.
在过去的十年中，由于众多开发人员的工作，我们对 IDS 的科学理解有了很大的进步 心理学家一直在试图揭示其节奏、停顿、音高和旋律的功能。Anne Fernald 博士 斯坦福大学是该领域的领先学者之一。她发现 IDS 会自动被男性采用， 妇女和儿童（甚至学龄前儿童）与婴儿交谈时，无论是他们自己的后代还是兄弟姐妹或 别人的。1 在发现的夸张韵律类型中存在细微的差异，以及更深刻的相似之处;父亲 例如，似乎没有像 Mothers 那样广泛地扩大他们的音高范围。
During the last decade our scientific understanding of IDS has advanced considerably, thanks to the work of numerous developmental psychologists who have been trying to reveal the function of its rhythms, pauses, pitches and melodies. Dr Anne Fernald of Stanford University is one of the leading academics in this field. She has found that IDS is automatically adopted by men, women and children (even those of pre-school age) when speaking to infants, whether their own offspring or siblings or those of someone else.1 Subtle differences exist in the types of exaggerated prosody that are found, along with more profound similarities; fathers, for instance, appear not to expand their pitch range as widely as mothers.
另一方面，那些刚开始与婴儿交谈的人以与有经验的相同程度的夸张韵律进行交谈 母亲们 – 婴儿们都喜欢它。实验表明，他们更喜欢听 IDS 而不是正常说话，2 并且他们对语音语调的反应比对面部表情的反应要快得多。这同样适用于早产儿 婴儿，使用 IDS 比使用抚摸等其他技术更能平静下来。来自的积极回应 然后，孩子将鼓励与婴儿进行非语言对话。事实上， 韵律元素是产生对成人对话至关重要的轮流。3
On the other hand, those who are new to conversing with babies do it with the same degree of exaggerated prosody as experienced mothers – and the babies enjoy it. Experiments have shown that they much prefer listening to IDS than to normal speech, 2 and that they are far more responsive to intonation of voice than to facial expression. This applies equally to premature infants, who are more frequently calmed by the use of IDS than by other techniques such as stroking. A positive response from the child will then encourage the development of non-linguistic conversation with the infant. Indeed, one function of the prosodic element is to engender the turn-taking that is critical to adult conversation.3
夸张韵律的影响不是身体或心理能力的函数;生病或年老的成年人 如果以类似的方式交谈，会做出负面反应。4 成年人之间的对话当然有韵律元素，尽管这种元素的程度因语言而异。 如果不是特定的语调，用英语写的话语会失去很多情感影响和意义 这些词被赋予了某些词。但是，尽管 IDS 中韵律的夸大可能具有相同的功能，但它也起到了 在语言习得本身中的作用。当成年人向他们的婴儿介绍一个新词时，他们可能会强调这一点 词的音调特别高，并将其放在话语的末尾;但他们不会同样地使用 pitch 当教另一个成年人一个新单词时。5 韵律也被用来帮助孩子掌握语言的句法;暂停的位置是 在 IDS 中，一个子句的结尾和另一个子句的开头比在成人语音中要多。6 一般来说，IDS 的夸张韵律有助于婴儿分离他们听到的声音流，以便单个单词 并且可以识别短语。事实上，幼儿的母亲会微调她们使用韵律的方式 婴儿当前的语言水平。
The impact of exaggerated prosody is not a function of physical or mental competence; adults who are either sick or elderly will react negatively if spoken to in a similar manner.4 Conversations between adults do, of course, have a prosodic element, although the extent of this varies between languages. Utterances made in English would lose a great deal of their emotional impact and meaning were it not for the specific intonations that are given to certain words. But while the exaggeration of prosody in IDS may have the same function, it also plays a role in language acquisition itself. When adults are introducing a new word to their infants, they are likely to stress that word with a particularly high pitch and place it at the end of an utterance; but they would not make the same use of pitch when teaching a new word to another adult.5 Prosody is also used to help children acquire the syntax of language; the placement of pauses is a more reliable cue to the end of one clause and the beginning of another in IDS than it is in adult speech.6 In general, the exaggerated prosody of IDS helps infants to split up the sound stream they hear, so that individual words and phrases can be identified. In fact, mothers of young children fine-tune the manner in which they use prosody to their infants’ current linguistic level.
然而，如果认为 IDS 的韵律主要是为了帮助孩子完成真正令人震惊的学习语言的任务，那就大错特错了。7
One would be mistaken, however, to believe that the prosody of IDS is primarily intended to help children accomplish the truly astounding task of learning language.7
IDS 的四个阶段
The four stages of IDS
Anne Fernald 确定了 IDS 的四个发展阶段，其中只有最后一个是明确关于促进语言的 正如我刚才描述的那样，通过使用停顿和重音来获得。对于新生儿和非常年幼的婴儿，IDS 有助于吸引 并通过提供孩子做出反应的听觉刺激来保持孩子的注意力。相对强烈的声音将 引起定向反应;音调略微升高的声音可能会让人大开眼界;而那些音调突然升高的 会导致闭眼和退缩。
Anne Fernald has identified four developmental stages of IDS, of which only the last is explicitly about facilitating language acquisition by using pauses and stresses as I have just described. For newborn and very young infants, IDS serves to engage and maintain the child’s attention by providing an auditory stimulus to which it responds. Relatively intense sounds will cause an orienting response; sounds with a gently rising pitch may elicit eye opening; while those with an abrupt rising pitch will lead to eye closure and withdrawal.
对于稍大的婴儿，成人直观使用的 IDS 特性的变化表明其外观 第二阶段，因为它现在开始调节唤醒和情绪。在安抚痛苦的婴儿时，成人更有可能 使用低音和下降的音高等值线;当试图吸引注意力并引起回应时，升高的音高等值线 更常用。如果一个成年人试图保持孩子的凝视，那么她的言语很可能会呈现出一个钟形 轮廓。成年人需要劝阻非常年幼的婴儿的情况很少见;但是当这些情况确实出现时，IDS 会采取类似的 在非人类灵长类动物中发现的警告信号的特征 – 简短而断断续续，轮廓陡峭、高亢。
With slightly older infants, changes to the character of the IDS intuitively used by adults indicate the appearance of its second stage, as it now begins to modulate arousal and emotion. When soothing a distressed infant, an adult is more likely to use low pitch and falling pitch contours; when trying to engage attention and elicit a response, rising pitch contours are more commonly used. If an adult is attempting to maintain a child’s gaze, then her speech will most likely display a bell-shaped contour. Occasions when adults need to discourage very young infants are rare; but when these do arise IDS takes on a similar character to the warning signals found in non-human primates – brief and staccato, with steep, high-pitched contours.
随着孩子年龄的增长，IDS 进入了它的第三个阶段，它的韵律具有更复杂的功能：它现在不仅引起了 孩子，但也传达了说话者的感受和意图。这标志着孩子心理的重大转变 生命;在之前的所有 “对话 ”中，婴儿只是享受令人愉快的声音，而不高兴地听不愉快的声音 声音 - 重要的是 IDS 固有的声学特性。然而，现在，旋律和节奏 帮助孩子欣赏母亲的感受和意图。
As a child ages, IDS enters its third stage and its prosody takes on a more complex function: it now not only arouses the child but also communicates the speaker’s feelings and intentions. This marks a major transformation in the child’s mental life; in all previous ‘conversations’ the infant simply enjoyed pleasurable sounds and listened with displeasure to unpleasant sounds – all that was important were the intrinsic acoustic properties of the IDS. Now, however, the melodies and rhythms help the child appreciate the mother’s feelings and intentions.
Fernald 和她的同事进行的实验表明，由于其夸张的韵律，IDS 是一个更强大的 中等于成人导向的语音，用于向幼儿传达意图。8 在一项这样的实验中，她记录了母亲在批准、禁止、 吸引注意力和安慰。然后，她录制了在等效角色扮演中制作的成人导向语音的类似样本 场景。两个语音样本都被“过滤”掉了它们的词汇内容——也就是说，单词本身被删除了—— 只留下乐句的音轮廓。当这些婴儿导向和成人导向的声音短语被播放时 回到一个新的成年人样本，他们都对婴儿没有经验，他们在识别（非词汇）短语的内容方面明显更好——也就是说，它们最初是否是在 批准、禁止、吸引注意力或安慰 – 当它们最初是针对婴儿而不是成人导向时。
Experiments undertaken by Fernald and her colleagues have shown that, owing to its exaggerated prosody, IDS is a more powerful medium than adult-directed speech for communicating intent to young children.8 In one such experiment, she recorded samples of IDS directed by mothers towards their children in contexts of approval, prohibition, attention-bidding and comfort. She then recorded analogous samples of adult-directed speech made in equivalent role-playing scenarios. Both samples of speech were ‘filtered’ of their lexical content – that is, the words themselves were removed – to leave no more than the sound contours of the phrase. When these infant-directed and adult-directed sound phrases were played back to a new sample of adults, all of whom were inexperienced with infants, they were significantly better at identifying the content of the (non-lexical) phrases – that is, whether they had originally been spoken in a context of approval, prohibition, attention-bidding or comfort – when they had originally been infant-directed rather than adult-directed.
这些实验表明，在 IDS 中，“旋律就是信息”9 – 说话者的意图可以仅从韵律中获得。无论这条信息是什么，它似乎都对 孩子，因为已发现婴儿接受的 IDS 的数量和质量与 它生长。10
Such experiments demonstrate that in IDS ‘the melody is the message’9 – the intention of the speaker can be gained from the prosody alone. Whatever that message is, it appears to be good for the child, because a correlation has been found between the quantity and quality of IDS an infant receives and the rate at which it grows.10
随着幼儿开始理解单词的含义，IDS 会发生进一步的细微变化，这标志着 它的第四阶段。在这个阶段，语调和停顿的特定模式有助于语言本身的习得。
As young children begin to understand the meaning of words, further subtle changes to IDS occur which mark the beginning of its fourth stage. In this stage, the specific patterns of intonation and pauses facilitate the acquisition of language itself.
IDS 的通用性
The universality of IDS
IDS 主要不是关于语言的想法得到了其音乐元素的普遍性的支持。无论哪个国家 我们来自这里，无论我们说什么语言，在与婴儿交谈时，我们都会以基本相同的方式改变我们的语言模式。11
The idea that IDS is not primarily about language is supported by the universality of its musical elements. Whatever country we come from and whatever language we speak, we alter our speech patterns in essentially the same way when talking to infants.11
Fernald 和她的同事对法语、意大利语、德语、日语、英国语使用者的 IDS 进行了跨语言研究 英语和美式英语。他们发现韵律的使用有显著的相似之处，这表明普遍性的存在 在 IDS 中 – 相同程度的加高音高、超发音、重复等。一些特定于语言的变体 被检测到。最值得注意的是，相比之下，讲日语的人通常采用较低水平的情感表达 与其他语言的使用者，这似乎反映了他们在 常规。同样，说美式英语的人的韵律水平最夸张，可能出于同样的原因。
Fernald and her colleagues made a cross-linguistic study of IDS in speakers of French, Italian, German, Japanese, British English and American English. They found significant similarities in the use of prosody, suggesting the existence of universals within IDS – the same degrees of heightened pitch, hyperarticulation, repetition and so forth. Some language-specific variations were detected. Most notable was that Japanese-speakers employ a generally lower level of emotional expression in comparison with speakers of other languages, which appears to be a reflection of their culturally influenced patterns of expression in general. Similarly, speakers of American English had the most exaggerated levels of prosody, for probably the same reason.
通过记录婴儿对他们愿意的语言所说的短语的反应，证明了 IDS 的普遍性 以前从未听说过。在一项这样的实验中，来自英语家庭的婴儿坐在他们母亲的腿上 一个三面展位。摊位的左右两侧是一张相同的女人脸像，表情中性， 以及连接到相邻房间的录音机的扬声器。然后，婴儿听到了一句 IDS：表示认可 从一个扬声器中，后跟一个表示禁止来自另一个扬声器的 IDS 短语。每种样本各 8 个 随机顺序和婴儿对每个短语的反应以五分制记录，范围从皱眉 （ lowest） 更改为 smile （最高）。
The universality of IDS was demonstrated by recording the responses of infants to phrases spoken in languages that they would never have heard before. In one such experiment, infants from English-speaking families were sat on their mothers’ laps inside a three-sided booth. On the left and right sides of the booth were identical pictures of a woman’s face, with a neutral expression, and loudspeakers connected to tape recorders in an adjacent room. The infants then heard a phrase of IDS: expressing approval from one loudspeaker, followed by an IDS phrase expressing prohibition from the other. Eight samples of each were played in random order and the responses of the infants to each phrase were recorded on a five-point scale, ranging from a frown (the lowest) to a smile (the highest).
该实验的主要特点是语音样本不仅用英语播放，还用婴儿以前听过的四种语言播放——德语、意大利语、希腊语 和日语 – 然后又是英语，但使用了保持相同韵律模式的无意义词。此外，增加 响度是表示赞成和禁止的 IDS 短语之间最显着的区别，被过滤掉了。实际上， 婴儿们听的不过是旋律。
The key feature of this experiment was that the samples of speech were played not only in English but also in four languages that the infants would not have heard before – German, Italian, Greek and Japanese – and then again in English but using nonsense words that maintained the same pattern of prosody. Moreover, increased loudness, the most salient difference between IDS phrases that express approval and prohibition, was filtered out. In effect, the infants were listening to nothing more than melody.
结果是决定性的：婴儿以适当的方式对他们听到的短语类型做出反应，皱着眉头 对那些表示禁止的短语和对那些表示赞同的人微笑，无论说什么语言，甚至 当使用无意义的词语时。然而，有一个并不出乎意料的例外：当 短语是用日语说的。Fernald 解释说，日本母亲使用的音高范围比 那些说欧洲语言的人。这一发现与其他发现日本人的声音和面部的研究一致 难以解码的表达式。
The results were conclusive: the infants responded in the appropriate manner to the type of phrase they were hearing, frowning at the phrases expressing prohibition and smiling at those expressing approval, whatever language was being spoken and even when nonsense words were used. There was, however, one – not unexpected – exception: the infants made no response when the phrases were spoken in Japanese. Fernald explained this in terms of the narrower pitch range used by Japanese mothers than by those speaking European languages. This finding was consistent with other studies that have found Japanese vocal and facial expressions difficult to decode.
另一个发展心理学家团队，由慕尼黑马克斯-普朗克精神病学研究所的梅赫希尔德-帕普塞克领导。 对普通话和美式英语使用者的 IDS 进行了比较研究，以专门比较声调 和重音语言。尽管她们研究的美国母亲提高了她们的音调并扩大了她们的音调范围 与中国母亲相比，发现了音高轮廓和上下文之间的相同关系，导致研究人员 以支持 IDS 中存在通用元素的观点。进一步的研究在科萨语中发现了相同的 IDS 模式， 另一种声调语言。
Another team of developmental psychologists, led by Mehthild Papousek of the Max Planck Institute for Psychiatry in Munich, made a comparative study of IDS in speakers of Mandarin Chinese and American English in order specifically to compare a tonal and a stress language. Although the American mothers they studied raised their pitch and expanded their pitch ranges more than the Chinese mothers, the same relationships between pitch contours and contexts were found, leading the investigators to support the idea that there are universal elements in IDS. Further studies have found the same patterns of IDS in Xhosa, another tonal language.
在以英语、德语、法语为母语的人的 IDS 中找到相同的韵律模式可能并不奇怪 和意大利语，因为所有这些语言由于相对较新的共同起源而具有相同的基本结构， 也许不超过八千年前。12 但是，说科萨语、中文和日语的母亲应该引入相同的高音调和扩展音调模式 音高范围非常重要，即使它们在日语的情况下受到限制。13 在科萨语和汉语等声调语言中，单词的含义根据其音调而变化;而在重音语言中， 例如英语，音调的变化只会改变单词在特定话语中的重要性——它的实际含义 保持不变。日语被称为 “音高重音 ”语言，其中采用了一些有限的对比音调。
It is perhaps not surprising to find the same patterns of prosody in the IDS of native speakers of English, German, French and Italian, because all these languages have the same essential structure owing to their relatively recent common origin, perhaps no more than eight thousand years ago.12 But that mothers speaking Xhosa, Chinese and Japanese should introduce the same patterns of heightened pitch and expanded pitch range is very significant, even if they are limited in the case of Japanese.13 The meaning of words in tonal languages such as Xhosa and Chinese varies according to their pitch; whereas in stress languages, such as English, a change in pitch alters only the importance of the word within a particular utterance – its actual meaning is left unchanged. Japanese is known as a ‘pitch-accent’ language, in which some limited use of contrastive tone is employed.
对于中文等声调语言，IDS 中韵律的夸张不可避免地会给孩子带来混淆的风险——是 改变音调改变了这个词的含义，还是仅仅赋予了它更多的强调？实验发现，中国妈妈 甚至采用许多直观的策略来智取他们自己语言的规则。在某些情况下，他们只是违反了这些规则，彻底改变了中文的词汇声调，转而采用全球通用的、情感上令人回味的词汇 IDS 的旋律。
With tonal languages such as Chinese, the exaggeration of prosody in IDS inevitably risks confusion for the child – is the change of pitch altering the meaning of the word, or merely giving it more emphasis? Experiments have found that Chinese mothers even employ a number of intuitive strategies to outwit the rules of their own language. In some cases, they simply violate those rules, drastically changing the lexical tones of Chinese in favour of the globally universal and emotionally evocative melodies of IDS.
如果 IDS 的夸张韵律只不过是一种语言学习工具，那么人们会期望找到人们的 IDS 说科萨语、中文和日语的人与说英语、德语和意大利语的人完全不同。这个 不是这样，这加强了 IDS 的心理机制最初属于相关音乐能力的论点 调节社会关系和情绪状态。进一步的证据不是来自 IDS，而是来自我们所能提供的 称为“PDS”——宠物导向的语音。
If the exaggerated prosody of IDS were no more than a language-learning device, one would expect to find the IDS of peoples speaking Xhosa, Chinese and Japanese to be quite different from that of those speaking English, German and Italian. That this is not the case strengthens the argument that the mental machinery of IDS belongs originally to a musical ability concerned with regulating social relationships and emotional states. Further evidence for this comes not from IDS but from what we can call ‘PDS’ – pet-directed speech.
有什么新东西，pussycat？
What’s new, pussycat?
IDS 和 PDS 之间存在着不可思议的关系。当我们与我们的猫、狗和其他宠物（兔子、豚鼠 和金鱼，就我而言）我们还夸大了我们语音的韵律方面。但是，与我们的孩子交谈不同， 我们知道我们的宠物永远不会获得语言。
There is an uncanny relationship between IDS and PDS. When we talk to our cats, dogs and other pets (rabbits, guinea pigs and goldfish, in my case) we also exaggerate the prosodic aspects of our speech. But, unlike when speaking to our children, we are aware that our pets will never acquire language.
来自西悉尼大学的 Dennis Burnham 和他的同事决定探索它们的相似之处和不同之处 以母亲与婴儿 （IDS）、宠物 （PDS） 交谈的方式，在本研究中由猫和狗组成，以及 其他成人（成人导向的语音或 ADS）。测量了语音的三个方面：音调、“情感”、程度的量度 可以听到语调和节奏，但听不懂单词;和元音的超发音，测量 元音被夸大的程度，这是 IDS 的特征。
Dennis Burnham and his colleagues from the University of Western Sydney decided to explore the similarities and differences in the manner in which mothers spoke to their infants (IDS), pets (PDS), which in this study consisted of cats and dogs, and other adults (adult-directed speech or ADS). Three aspects of speech were measured: pitch, ‘affect’, a measure of the extent to which intonation and rhythm can be heard but the words not understood; and hyperarticulation of vowels, which measures the extent to which vowel sounds are exaggerated, as is characteristic of IDS.
事实证明，IDS 和 PDS 的音高在统计学上相同，并且明显高于 ADS。IDS 的影响评级为 高于 PDS，但两者都大大大于 ADS。因此，在这两个方面， 人们与宠物交谈的方式与与婴儿交谈的方式相同。但是，当 检查元音，发现 PDS 与 ADS 相同;在这两种情况下，元音都没有被夸大 与 IDS 中的程度相同。
Pitch in IDS and PDS proved to be statistically the same, and significantly higher than in ADS. The affect rating of IDS was higher than that for PDS, but for both of these it was substantially greater than for ADS. In these two respects, therefore, people speak to their pet’s in the same manner as they speak to their infants. But when the extent pf hyperarticulation of vowels was examined, it was found to be the same in PDS as in ADS; in neither of these situations were vowels exaggerated to the same extent as in IDS.
从这项研究中，伯纳姆和他的同事得出结论，人们会凭直觉调整他们的言语以满足情绪和 他们受众的语言需求。像婴儿一样，猫和狗也有情感需求，可以通过提高 话语的音调和影响。但与婴儿不同的是，他们没有任何语言需求，因此发音过度没有优势 称呼宠物时的元音。这表明在 IDS 中，我们使用超发音元音以促进儿童的习得 语言，而不是作为满足其情感需求的进一步手段。
From this study, Burnham and his colleagues concluded that people intuitively adjust their speech to meet the emotional and linguistic needs of their audience. Like infants, cats and dogs have emotional needs, which may be met by heightening the pitch and affect of utterances. But unlike infants, they lack any linguistic needs and so there is no advantage to hyperarticulation of vowels when addressing pets. This suggests that in IDS we hyperarticulate vowels in order to facilitate the child’s acquisition of language, rather than as a further means of attending to its emotional needs.
Bumharn 的研究很吸引人，可以有效地扩展以进一步探索 IDS 和 PDS 之间的相似之处和不同之处。但是，我们必须满足于他们 录制：我们所说的“DDS”和“CDS”之间没有区别——狗导向的语音和猫导向的语音。
Bumharn’s study is fascinating, and one that could usefully be extended to explore further similarities and differences between IDS and PDS. But we must be content with one further observation they recorded: there are no differences between what we might term ‘DDS’ and ‘CDS’ – dog-directed speech and cat-directed speech.
天生的统计学家
Natural-born statisticians
如果语言习得不是 IDS 的主要功能，那么婴儿又如何从他们听到的单词中筛选出含义呢？珍妮 威斯康星大学麦迪逊分校 （University of Wisconsin-Madison） 的发展心理学家 Saffran 已经表明，他们也能够识别 他们听到的连续声音流中的统计规律。14 她的工作对本书很重要，因为它进一步阐明了音乐和语言的相对重要性 我们很年轻，这让我们回到了莱昂·米勒 （Leon Miller） 在音乐专家中发现的普遍特征之一 他研究了 – 他们拥有完美的音高。
If linguistic acquisition is not the primary function of IDS, how else do infants sift meaning from the words they hear? Jenny Saffran, a developmental psychologist at the University of Wisconsin-Madison, has shown that they are also able to identify statistical regularities in the continuous sound streams they hear.14 Her work is important for this book because it throws further light on the relative significance of music and language when we are young, and returns us to one of the prevalent characteristics that Leon Miller identified among the musical savants he studied – their possession of perfect pitch.
Saffran 通过一个简单的问题开始她的工作：当婴儿倾听时，他们听到了什么？很少有问题更重要 为了理解婴儿如何获得语言，因为他们不仅必须提取意义，而且必须提取 他们从父母、兄弟姐妹和其他人那里听到的连续声音流中听到的话语。它确实是一种“连续的声音 stream';尽管我们在写下一个单词的结尾和下一个单词的开头之间留下了空白，但并没有这样的 我们的口语中存在差距，因此婴儿如何能够识别离散的单词是最迷人的问题之一 发展语言学问题。我们已经看到韵律有帮助，但 Saffran 的工作表明，它们也部署了 另一项技能：他们是天生的统计学家。
Saffran began her work by asking a simple question: when infants listen, what do they hear? Few questions are more important for our understanding of how infants acquire language, for they must extract not just the meaning but the very existence of words from the continuous streams of sound they hear from their parents, siblings and others. It is indeed a ‘continuous sound stream’; although we leave gaps between the end of one word and the beginning of the next when we write them down, no such gaps exist in our spoken language, so quite how an infant is able to identify discrete words is one of the most fascinating questions in developmental linguistics. We have already seen that prosody helps, but Saffran’s work shows that they also deploy another skill: they are natural-born statisticians.
八个月大的婴儿在两分钟内熟悉一连串的人工音节（例如，tibudopabikudaropigolatupabiku ...在这个流中，一些三个音节序列总是聚集在一起（例如 pabiku），而其他音节对只是偶尔关联在一起。至关重要的是淘汰 关于这些规则音节序列所在位置的任何韵律线索。一旦婴儿熟悉了 这个声音流中，他们被呈现为“单词”、“部分单词”和“非单词”，以测试他们发现的是什么 最感兴趣。它们中的每一个都由短而无意义的音节字符串组成。然而，“单词”由音节组成， 总是一起出现在连续的声音弦中，并以相同的顺序出现。在 'part-words' 中，只有前两个 音节在音串中一直放在一起;而在“非单词”中，音节以前从未有过 彼此关联地听到。期望是，如果婴儿能够从原始声音流中提取规律性，那么 “部分词 ”，特别是 “非词 ”将是新颖的，婴儿会 对他们表现出更大的兴趣，以他们的收听时间长短来衡量，而不是对 “文字” 的兴趣。
Eight-month-old infants were familiarized for two minutes with a continuous sound string of artificial syllables (for example, tibudopabikudaropigolatupabiku …). Within this stream, some three-syllable sequences were always clustered together (pabiku, for instance), whereas other syllable pairs were only occasionally associated. Of critical importance was the elimination of any prosodic cues as to where these regular syllable sequences were located. Once the infants had been familiarized with this sound stream, they were presented with ‘words’, ‘part-words’ and ‘non-words’ to test which of them they found to be of most interest. Each of these consisted of short nonsense syllable strings. The ‘words’, however, consisted of syllables that had always been found together and in the same order within the continuous sound string. In ‘part-words’ only the first two syllables had consistently been placed together in the sound string; while in ‘non-words’ the syllables had never previously been heard in association with each other. The expectation was that if the infants had been able to extract the regularities from the original sound stream, then ‘part-words’ and especially ‘non-words’ would be novel and the infants would show greater interest in them, measured by their length of listening time, than in the ‘words’.
结果证实了这一预期：婴儿忽略了 “单词”，但对 “部分词 ”和 “非单词 ”表现出兴趣。 这意味着他们的大脑一直在忙于提取由重复出现的音节引入的统计规律 序列，同时他们正在收听两分钟的音节流。而这一定是他们在“现实”生活中使用的方法 确定单词在他们从父母、兄弟姐妹和其他人那里听到的连续声音流中的开始和结束位置 – 他们还通过 IDS 的夸张韵律帮助他们完成这项任务。
The results confirmed this expectation: the infants ignored the ‘words’ but showed interest in the ‘part-words’ and ‘non-words’. This implied that their minds had been busy extracting the statistical regularities, introduced by the recurring syllable sequences, while they were listening to the two-minute syllable stream. And this must be the method they use in ‘real’ life to identify where words begin and end within the continuous sound streams they hear from their parents, siblings and others – who also help them in this task by the exaggerated prosody of IDS.
有人可能会认为这种统计学习能力是某种专门用于获取语言的心理机制的一部分。 但 Saffran 和她的同事们重复了这个实验，用中音 C 以上的八度音调而不是音节。 这一次，婴儿被播放连续的音调流（例如，AFBF#A#DEGD#AFB），然后测试 他们是否在短音序列中发现了统计规律。结果与音节的结果相同， 这表明在那个年龄，我们具有从听觉刺激中提取模式的一般能力。这似乎不太可能，因为 对于被测试婴儿的年龄，这种能力最初是专门为语言而进化或发展的 收购，现在被偶然用于音乐。反之亦然：起源于心理适应 用于处理音乐后来被用于语言。或者，我们可能正在处理一个非常普遍的认知 能力，因为 Saffran 的同事的实验表明，婴儿也可以识别 光的模式和身体动作的顺序。15 如果这是正确的，那么这种能力必然与我们如何在很小的时候就对世界有最普遍的把握有关。
One might think that this statistical-learning capability is part of some dedicated mental machinery for acquiring language. But Saffran and her colleagues repeated the experiment with musical tones from the octave above middle C instead of syllables. This time, the infants were played a continuous sound stream of tones (for example, AFBF#A#DEGD#AFB) and then tested as to whether they identified statistical regularities in short tone sequences. The results were equivalent to those for syllables, suggesting that at that age we have a general ability to extract patterning from auditory stimuli. It seems unlikely, owing to the young age of the infants being tested, that this ability originally evolved or developed specifically for language acquisition and was now being used incidentally for music. The converse might be true: a mental adaptation that originated for processing music later came to be used for language. Alternatively, we might be dealing with a very general cognitive ability, as experiments by Saffran’s colleagues have suggested that infants can also identify statistical regularities in patterns of light and sequences of physical actions.15 If that is correct, then this, ability must relate to how we get the most general handle on the world at a very young age.
完美的音高
Perfect pitch
Jenny Saffran 通过探索婴儿如何能够识别有规律的音调序列来发展她的工作 在音弦中，她演奏了它们。在与同事 Gregory Griepentrog 一起进行的一项研究中，她设计了实验来 测试婴儿在进行所需的心算时对完美音高或相对音高的相对依赖性。16 他们必须使用其中的一个或两个，因为声音流中没有韵律或音高轮廓元素 否则，这可能会提示关键音调序列的开始或结束。
Jenny Saffran developed her work by exploring how the infants had been able to recognize the regularly occurring tone sequences within the sound string she had played them. In a study with her colleague Gregory Griepentrog, she devised experiments to test the infants’ relative dependence on either perfect or relative pitch when making the required mental computations.16 They had to be using one or both of these, because there was no prosodic, or pitch contour, element within the sound stream that might otherwise have cued the beginning or end of key tonal sequences.
完美（或绝对）音高是指在没有任何参考点的情况下识别或产生声音音高的能力。只 大约每万个成年人中就有一个具有这种能力，绝大多数人完全依赖相对音高——识别两种声音之间音高差异程度的能力。发病率较高 专业音乐家之间的完美音调比在公众中完美，但目前尚不清楚这是否是一个结果 他们的音乐经历，尤其是在儿童早期，或他们音乐专业知识的原因。最耐人寻味的 如第 3 章所述，莱昂·米勒 （Leon Miller） 对音乐专家的研究发现，几乎所有音乐专家都拥有完美 投。这也是自闭症患者的普遍发现。17
Perfect (or absolute) pitch is the ability to identify or to produce the pitch of a sound without any reference point. Only about one in every ten thousand adults has this capacity, with the vast majority of people relying solely on relative pitch – the ability to identify the extent of pitch difference between two sounds. There is a higher incidence of perfect pitch among professional musicians than in the public at large, but it remains unclear whether this is a consequence of their musical experiences, especially in early childhood, or the cause of their musical expertise. One of the most intriguing findings in Leon Miller’s studies of musical savants, as described in chapter 3, is that almost all of them possessed perfect pitch. This is also a general finding among those suffering from autism.17
Saffran 和 Griepentrog 重复了之前的实验，并用它来测试婴儿是否能够优先识别 'tone-words' 胜过 'tone-part-words'。但是，在这种情况下，tone-words 和 tone-part-words 被赋予了相同的相对 音高序列，因此辨别必须完全取决于识别和记住绝对 音调的音高。婴儿成功地完成了这项任务：他们对听 “声调部分词 ”表现出更大的兴趣。 表示他们已经识别并熟悉了连续音流中的声调词。为此，他们 必须依靠识别音调的完美音高。
Saffran and Griepentrog repeated the previous experiment and used it to test whether infants could preferentially recognize ‘tone-words’ over ‘tone-part-words’. In this case, however, the tone-words and tone-part-words were given identical relative pitch sequences so that discrimination had to depend entirely on recognizing and remembering the differences in the absolute pitch of the tones. The infants succeeded at this task: they showed greater interest in listening to the ‘tone-part-words’, indicating that they had recognized and become familiar with the tone-words in the continuous sound stream. To do so, they had to have relied on recognizing the perfect pitch of the tones.
Saffran 和 Griepentrog 的下一步是扭转这种情况：他们设计了一个实验来评估 婴儿可以仅依靠相对音调来区分 “声调词 ”和 “声调部分词”。婴儿现在失败了 识别声调词，表明他们无法使用相对音高作为学习工具——或者至少他们 对 Perfect Pitch 的依赖要大得多。
The next step for Saffran and Griepentrog was to reverse the condition: they devised an experiment to evaluate whether the infants could rely on relative pitch alone to distinguish between ‘tone-words’ and ‘tone-part-words’. The infants now failed to recognize the tone-words, showing that they were unable to use relative pitch as a learning device – or at least that they had a much greater dependency on perfect pitch.
不出所料，当他们在成年人身上重复实验时，发现情况恰恰相反。它 因此，当我们进入世界时，我们似乎拥有完美的音高，但这种能力被对 随着年龄的增长而相对的音高。
Unsurprisingly, when they repeated the experiments on adults, among whom perfect pitch is rare, the converse was found. It appears, therefore, that when we enter the world, we have perfect pitch but that this ability is replaced by a bias towards relative pitch as we grow older.
为什么会这样呢？在西方，依赖完美的音调被认为不利于学习语言和 音乐，因为它可以防止泛化。Saffran 和 Griepentrog 建议按完美音高对声音进行分类 导致类别过于具体。仅限于按完美音高对旋律进行分组的婴儿永远不会发现 他们听到的歌曲在用不同的调子唱时是相同的，或者以不同的基频说出的单词是 一样。18 他们甚至无法认出一个男人和一个女人用不同的声音说出同一个词 确实是同一个词。
Why should this be? In the West, a reliance on perfect pitch is thought to be disadvantageous to learning both language and music, as it prevents generalization. Saffran and Griepentrog suggested that categorizing sounds by their perfect pitch ‘would lead to overly specific categories. Infants limited to grouping melodies by perfect pitches would never discover that the songs they hear are the same when sung in different keys or that words spoken at different fundamental frequencies are the same.’18 They would even be unable to recognize that the same word spoken by a man and by a woman with differently pitched voices is indeed the same word.
然而，完美音高在声调语言（如普通话）中可能是一个优势，在这些语言中，有些单词确实有所不同 以不同的音调说出时的含义，因此需要单独分类。Saffran 和 Griepentrog 测试 一个讲普通话的成年人的样本，但发现他们在完美音调和相对音调方面的表现与讲英语的人一样。他们提出了三种可能 解释：讲普通话的人都使用英语作为第二语言（他们是在美国的学生）;他们 会说几种中国方言，这需要灵活使用声调;或者声调语言的音高能力 可能仅用于母语。尽管 Saffran 和 Grie-pentrog 未能发现他们的 说英语和普通话的人，从其他研究中得知，亚洲成年人使用完成时的频率更高 pitch 比西方发现的要高。然而，无论亚洲人是否说声调语言，这种情况都存在 例如普通话或无调性语言，例如韩语或日语，它似乎反映了遗传易感性 这与语言或其他文化因素无关。19
Perfect pitch might, however, be an advantage in tonal languages such as Mandarin Chinese, in which some words do have different meanings when spoken at different pitches and therefore need to be separately categorized. Saffran and Griepentrog tested a sample of adult Mandarin-speakers but found that they performed just like the English-speakers with regard to perfect and relative pitch. They suggested three possible explanations: that the Mandarin-speakers all used English as a second language (they were students in the USA); that they spoke several Chinese dialects, which would require a flexible use of tone; or that the pitch abilities for tonal languages might be used for the native language alone. Although Saffran and Grie-pentrog failed to detect any difference between their speakers of English and Mandarin Chinese, it is known from other studies that Asia has a higher frequency of adults with perfect pitch than is found in the West. This condition exists, however, irrespective of whether the Asian people speak a tonal language such as Mandarin Chinese or an atonal language such as Korean or Japanese, and it appears to reflect a genetic predisposition that is unrelated to language or other cultural factors.19
Saffran 和 Greipentrog 的结果表明，依赖完美音高很可能对学习语言不利。 无论是无调性的还是调性的。然而，同样的情况是，完全依赖相对音高也可能被证明是有问题的 因为它会为婴儿提供不够细致的语言信息——他们 Hear 听起来是一样的。因此，Saffran 和 Griepentrog 认为 perfect pitch 可能是一个必要的补充 到语言习得的最初阶段对相对音高轮廓的出勤率。但是，由于能力 通过监测轮廓变化的方向和距离，可以提高对间距轮廓的区分。 完美的音高变得不那么重要，最终会成为积极的障碍。在 Saffran 和 Griepentrog 的 view，'unlearned' 的。
Saffran and Greipentrog’s results indicated that a reliance on perfect pitch is most likely disadvantageous for learning language, whether atonal or tonal. However, it is equally the case that a total reliance on relative pitch might also prove problematic because it would provide infants with insufficiently fine-grained information about language – too many of the words they hear would sound the same. Consequently, Saffran and Griepentrog suggest that perfect pitch might be a necessary supplement to the attendance to relative pitch contours during the very first Stages of language acquisition. However, because the ability to discriminate between pitch contours is improved by monitoring not only the direction but also the distance of contour changes, perfect pitch comes to be of less significance and eventually a positive hindrance. It becomes, in Saffran and Griepentrog’s view, ‘unlearned’.
这是一个巧妙的想法，因为它有助于解释为什么童年时期的某些经历，例如激烈的音乐练习，可能会 启用 Perfect Pitch 的维护。事实上，发现接触音乐和音乐训练的年龄之间 的 3 和 6 增加了儿童在成年生活中保持完美音高的可能性，这表明它是 对于聆听和表演音乐有一些价值。20 如果不是这样，那么人们会预期音乐家的完美音高的发生率甚至低于非音乐家。 因为他们的语言习得和音乐习得都会对它的保留产生不利影响。所以 possess 完美的音高必须以某种方式提高一个人的音乐能力。它可以通过使练习更加准确和方便来做到这一点 物理动作或乐器键与所需音高之间的直接连接。21
This is a neat idea because it helps to explain why certain experiences in childhood, such as intense music practice, may enable the maintenance of perfect pitch. Indeed, the finding that exposure to music and musical training between the ages of three and six enhances the likelihood that children will maintain perfect pitch into adult life suggests that it is of some value for listening to and performing music.20 If this were not the case, then one would expect an even lower incidence of perfect pitch among musicians than among non-musicians, because they would have both their language acquisition and their music acquisition acting against its retention. So the possession of perfect pitch must somehow enhance one’s musical ability. It may do this by making practice more accurate and facilitating direct connections between physical movements or instrument keys and the desired pitch.21
这种语言习得涉及对完美音高的“忘却”（除非它被激烈的音乐活动保留下来）解释说 为什么那些有认知缺陷而无法获得语言的音乐专家能保持完美的音调——他们没有压力去忘掉它。Leon Miller 认为，正是他们拥有完美的音高， 为他们的音乐才能发展奠定了基础。但这本身是不够的：自闭症儿童 缺乏语言且没有特殊音乐天赋的人在识别和 记住音乐音高。22 总而言之，在婴儿的发育过程中，固有的音乐潜力会受到以下要求的侵蚀 语言习得，除非付出艰苦的努力来保持完美的音调。
That language acquisition involves the ‘unlearning’ of perfect pitch (unless it is retained by intense musical activity) explains why those musical savants who have cognitive deficits that prevent their acquisition of language maintain perfect pitch – they have no pressure to unlearn it. Leon Miller believes that it is their possession of perfect pitch that provides the foundation for the development of their musical talents. But this is not sufficient in itself: autistic children who lack language and have no special musical talent also have superior abilities over normal children at identifying and remembering musical pitches.22 To summarize, in the course of infant development there is an erosion of an inherent musical potential by the demands of language acquisition, unless strenuous efforts are made to maintain perfect pitch.
这与进化上的相似性很有趣：它表明前语言原始人可能一直保持着对 完美的音高，因此与其中的音乐能力相比，他们的音乐能力更强 使用语言的原始人，包括我们自己。当然，要测试这个提议是完全不可能的。但是 猴子的一般音乐敏感性（可能基于完美音高）是令人鼓舞的。23
The evolutionary parallel of this is intriguing: it suggests that prelinguistic hominids may have maintained a bias towards perfect pitch throughout their lives, and hence developed enhanced musical abilities in comparison with those found among language-using hominids, including ourselves. It is, of course, quite impossible to test this proposal. But the presence of a general musical sensitivity in monkeys, which may be based on perfect pitch, is encouraging.23
给婴儿唱歌
Singing to infants
到目前为止，本章主要关注 IDS 的音乐方面，并指出它在情感表达和发展中的作用 在最终使用夸张的韵律以促进语言习得之前，社会纽带。但是父母 他们不仅与婴儿交谈，还与婴儿唱歌，这可能具有更大的情感力量。Sandra Trehub，教授 多伦多大学的心理学教授，与她的同事一起进行了多项研究，以探索唱歌的意义 到婴儿。一组研究探讨了摇篮曲，发现它们的旋律具有惊人的跨文化统一性， 节奏和节奏。发现成年听众在以下情况下非常能够区分摇篮曲和非摇篮曲 在不熟悉的语言的歌曲上进行了测试。24 Trehub 和她的同事还研究了 IDS 和歌曲的相对影响。25 他们发现，当 他们在唱歌而不是说话。26 Trehub 证明，六个月大、未陷入困境的婴儿表现出更大的生理反应（通过生产 唾液皮质醇）对母亲的歌声而不是他们的言语，这表明唱歌作为一种照顾的重要性 工具。27
This chapter has so far concentrated on the musical aspects of IDS, noting its role in the expression of emotion and development of social bonds prior to the eventual use of exaggerated prosody in order to facilitate language acquisition. But parents not only talk to their babies, they sing to them too, and this may have even greater emotional power. Sandra Trehub, a professor of psychology from Toronto University, has undertaken several studies with her colleagues to explore the significance of singing to infants. One set of studies explored lullabies and found a striking degree of cross-cultural uniformity in their melodies, rhythms and tempos. Adult listeners were found to be quite capable of discriminating between lullabies and non-lullabies when tested on songs in an unfamiliar language.24 Trehub and her colleagues also examined the relative impacts of IDS and song.25 They found that babies will spend significantly longer periods attending to audio-visual recordings of their mothers when they are singing rather than speaking.26 Trehub demonstrated that six-month-old, non-distressed infants show a greater physiological response (gauged by the production of salivary Cortisol) to their mother’s singing than to their speech, indicating the significance of singing as a care-giving tool.27
这种反应并不完全是社会化的反映，这从新生儿的生理反应中可以看出。 佛罗里达州立大学的 Jayne Standley 在新生儿重症监护病房进行的工作证明了这一点。28 她的一项研究表明，女歌手演唱摇篮曲可以显著改善吸吮的发育 能力，这对他们的体重增加产生了可衡量的影响。还发现音乐可以稳定氧饱和度水平，从而促进早产儿的身体发育。 接受音乐和按摩相结合的早产儿平均比 婴儿对照组。
That such responses are not wholly a reflection of socialization is shown by the physiological responses of newborn babies, as demonstrated by work in neonatal intensive care units carried out by Jayne Standley of Florida State University.28 One of her studies showed that the singing of lullabies by a female vocalist significantly improved the development of sucking abilities in premature infants, and this resulted in measurable impacts on their weight gain. Music was also found to stabilize oxygen saturation levels, which enhances the physical development of premature infants. Premature infants subjected to a combination of music and massage were discharged an average of eleven days earlier than a control group of infants.
萨里大学（University of Surrey）的艾莉森·斯特里特（Alison Street）进行了一项特别有趣的研究，该研究同样关注母亲 作为婴儿，他们关心的是家里的自然环境，而不是实验室的人为环境。 斯特里特让母亲们给婴儿唱歌，询问唱歌，她的工作基于精心控制的 100 个样本 母亲们，每个人都有一个不到一岁的婴儿。她发现，所有的母亲都在私密的地方给她们的婴儿唱歌 他们自己的家，尽管她的样本中有一半声称他们没有歌声。对问题的频繁回答 他们为什么给婴儿唱歌是为了“安抚、娱乐、让婴儿笑、微笑、咯咯作响和发出声音 他们自己”。一个特别有趣和常见的发现是，母亲们认为她们的歌声让婴儿放心 他们的存在。一些妈妈还提到，唱歌可以帮助她们放松和感到平静，并且有助于回忆 当他们自己的母亲为他们唱歌时，他们自己快乐的童年。
Alison Street, at the University of Surrey, has undertaken a particularly interesting study that focused on mothers as much as infants and was concerned with the natural setting of the home, rather than the contrived environment of the laboratory. Street carried mothers sing to their infants and enquired singing, basing her work on a carefully controlled sample of 100 mothers, each with a baby of less than one year old. She found that all of the mothers sang to their infants in the privacy of their own home, even though half of her sample claimed that they lacked a singing voice. Frequent responses to the question of why they sang to their infants were ‘to soothe, to entertain, to make the infants laugh, smile, gurgle and make sounds themselves’. A particularly interesting and frequent finding was that mothers believed that their singing reassured the infant of their presence. Some mothers also mentioned the fact that singing helped them relax and feel calm, and that it helped recall their own happy childhoods when their own mother sang to them.
虽然这些结果具有相当大的学术意义，但它们也有实际应用，表明卫生专业人员 可以通过鼓励母亲唱歌给婴儿听来支持她们。斯特里特建议，如果可以帮助母亲发展 对婴儿的音乐能力有更深的认识，他们就会被鼓励更多地唱歌。这将有所帮助 培养母亲和婴儿的幸福感，确认他们不断发展的陪伴，并帮助母亲赋权 支持婴儿的发育。29
While these results are of considerable academic interest, they also have practical applications, suggesting that health professionals can support mothers by encouraging them to sing to their infants. Street suggests that if mothers could be helped to develop a greater awareness of their infants’ musical competencies they would be encouraged to sing even more. This would then help foster a sense of well-being in both mother and infant, confirm their developing companionship, and help empower mothers in supporting their infants’ development.29
桑德拉·特雷哈布 （Sandra Trehub） 对母亲歌唱的生物学意义更加明确：
Sandra Trehub is rather more explicit about the biological significance of maternal singing:
在某种程度上，母亲唱歌可以优化婴儿的情绪，它可以通过促进婴儿的生长发育来促进 喂食、睡觉，甚至学习。孩子长时间的无助给父母带来了巨大的选择压力 承诺和婴儿行为来奖励这种承诺。在摇篮曲中入睡或进入恍惚状态 表演其他歌曲可能是对母亲努力的适当奖励。一般来说，产妇的有利后果 在婴儿唤醒时唱歌，无论是通过减少哭泣、诱导睡眠还是积极影响，都有助于婴儿 在维持母性行为的同时保持健康。据推测，会唱歌的母亲的健康满足的后代比不唱歌的母亲的后代更有可能将他们的基因传给下一代。30
To the extent that maternal singing optimizes infant mood, it could contribute to infant growth and development by facilitating feeding, sleeping, and even learning. Children’s extended period of helplessness creates intense selection pressures for parental commitment and for infant behaviours to reward such commitment. Falling asleep to lullabies or entering trance-like states to performance of other songs might be suitable reward for maternal effort. In general, favourable consequences of maternal singing on infant arousal, whether through cry reduction, sleep induction, or positive affect, would contribute to infant well-being while sustaining maternal behaviour. Presumably, the healthy and contented offspring of singing mothers would be more likely to pass on their genes than would the offspring of non-singing mothers.30
“天生就有音乐的智慧和胃口”......
‘Born with a kind of musical wisdom and appetite’…
本章的大部分材料都可以概括为这句话，儿童名誉教授 Colin Trevarthen 使用了这句话 爱丁堡大学心理学。在这些话中，他总结了他对婴儿心智的评估，如下所示 一生对母婴互动的研究。31 他的工作强调了婴儿如何不仅聆听来自照顾者声音的音乐，而且还在 他们自己的咕咕声和动作。32 他也值得详细引用：
Much of the material in this chapter can be encapsulated in this phrase, used by Colin Trevarthen, emeritus professor of child psychology at the University of Edinburgh. In those words he has summarized his assessment of the infant’s mind, following a lifetime of research on mother-infant interactions.31 His work has stressed how infants not only listen to the music coming from their carers’ voices, but also produce music in their own coos and movements.32 He, too, is worth quoting at length:
一位母亲用低沉的音调和温柔的抚摸，欣喜若狂地哭泣着迎接她的新生儿。她的眼睛无法移开 婴儿的脸。她有节奏地抚摸手、脸、身体，并将婴儿抱在身边，以便他们能够引起注意 并彼此问安。她的讲话是一种歌唱，音调高亢地滑行，重复着常规的温柔 优美的节拍乐句，为婴儿留下了加入咕咕声、微笑和手势的地方 身体。婴儿的每一个动作都会引起她的反应。这些交流与柔和的编排错综复杂地协调在一起 这在 Mother 和 Infant 中产生了匹配的节奏和短语。33
A mother greets her newborn in ecstatic cries with falling pitch, and by gentle fondling. She is unable to keep her eyes from the baby’s face. She touches hands, face, body with rhythmic care, and holds the infant close to her so they can join attention and greet one another. Her speech is a kind of singing, with high gliding gestures of pitch and repetition of regular gentle phrases on a graceful beat, leaving places for the infant to join in with coos, smiles and gestures of the hands and whole body. Every move of the baby elicits a reaction from her. These exchanges are intricately coordinated with a subdued choreography that brings out matching rhythms and phrasing in mother and infant.33
…并准备大笑
… and ready to laugh
Alison Street 的发现之一是，我们唱歌给婴儿听，其明确目的是娱乐他们，让他们 微笑和大笑。我们需要花点时间在笑声上，因为它是亲子互动的关键要素 在人类中。像所有其他话语和手势一样，笑声经常以轮流的方式出现，并且具有特征 具有与典型 IDS 相同的音乐品质。婴儿在 14 到 16 周大时开始大笑，并且 经常调节亲子互动;笑声会促使你重复你所做的任何让你发笑的事情。母亲 大笑，说话与笑同时出现，在与婴儿互动时比与年龄较大的孩子互动时更频繁 和其他成年人。
One of Alison Street’s findings was that we sing to our babies with the explicit intention of entertaining them, to make them smile and laugh. We need to spend a few moments on laughter, since it is such a key element of parent–infant interactions in humans. Like all other utterances and gestures, laughter frequently occurs in a turn-taking fashion and is characterized by the same music-like qualities than typify IDS. Infants begin to laugh between fourteen and sixteen weeks of age, and it often regulates the parent-infant interaction; laughter prompts you to repeat whatever you did that made you laugh. Mothers laugh, and have concurrences of speech with laughter, far more frequently when interacting with infants than with older children and other adults.
作为一种无处不在且普遍的人类话语类型，笑声作为一个研究课题一直被忽视，因此其特定的 在发展成人-婴儿社会纽带中的作用尚不清楚。罗伯特·普罗文 （Robert Provine），美国大学心理学教授 马里兰州是为数不多的认真对待笑声的学者之一。他认为笑是一种古老的社会信号形式， 它更类似于动物的叫声和鸟鸣，而不是人类的语言。笑声是会传染的——电视制片人通过添加配音笑声来充分利用这一点——表明 它是社会联系的一种手段。
As a ubiquitous and universal type of human utterance, laughter has been neglected as a research topic, hence its specific role in developing adult–infant social bonds remains unclear. Robert Provine, professor of psychology at the University of Maryland, is one of the few academics to take laughter seriously. He believes that laughter is an ancient form of social signalling, one that is more akin to animal calls and birdsong than to human speech. The fact that laughter is contagious – which TV producers exploit to great effect by adding dubbed-in laughter – suggests that it is a means of social bonding.
我们都知道，笑声可以成为一种强大的社交工具：它打破了与陌生人的僵局，建立了纽带，产生了善意。 并减少侵略性和敌意。商人用笑声来增加他们与客户的关系;我们都会在 调情。通过“嘲笑”而不是“和别人一起笑”，笑可以用来制造冒犯、表达或 创建权力关系，并从社交组中排除人员。
We are all aware that laughter can be a powerful social tool: it breaks the ice with strangers, creates bonds, generates goodwill, and reduces aggression and hostility. Businessmen use laughter to increase their rapport with clients; we all use it when flirting. By ‘laughing at’ rather than ‘laughing with’ someone else, laughter can be used to create offence, to express or create a power relationship, and to exclude a person from a social group.
Provine 的研究包括窃听成人和儿童群体，并记录性别差异的程度 的笑声。无论是说话还是听，女性都比男性笑得更多，而男性和女性观众都 听女人说话时笑得比男人笑得少得多——因此女性漫画的命运并不容易。普罗旺 还研究了笑声是如何嵌入到语音中的，发现它通常出现在话语的结尾，而不是 而不是在中间打断它，这表明演讲在神经学上得到了一些优先权。
Provine’s studies have included eavesdropping on groups of adults and children and recording gender differences in the extent of laughter. Whether they are speaking or listening, women laugh a great deal more than men, while both male and female audiences laugh a great deal less when listening to a woman than to a man – hence the lot of the female comic is not an easy one. Provine has also studied how laughter is embedded into speech, and found that it usually comes at the end of an utterance, rather than interrupting it in the middle, suggesting that some neurological priority is given to the speech.
笑的倾向必须是我们进化的心理的一部分，而不是纯粹的习得行为。患有 从未听到过笑声或看到微笑，但当被挠痒痒时，他会大笑和微笑。此外，类似笑声的声音 存在于我们最近的现存亲戚黑猩猩身上，黑猩猩在挠痒痒或玩耍时会产生它们。这些听起来不同 来自人类的笑声，因为它们是在吸气和呼气时产生的，而人类的笑声来自“切碎” 一次过期。黑猩猩的笑声也缺乏人类笑声中离散的、类似元音的音符（例如，ha、ha、 ha） 的事实上，如果一个人只是听黑猩猩的笑声而不看动物本身，他可能不会认出 它根本不是笑声。
The propensity for laughter must be part of our evolved psyche rather than a purely learned behaviour. Children who are have never heard laughter or seen a smile, will nevertheless laugh and smile when tickled. Moreover, laughter-like vocalizations are present in our closest living relatives, the chimpanzees, who produce them when tickled or during play. These sound different from human laughter because they are produced while breathing in and out, whereas human laughter arises from ‘chopping up’ a single expiration. Chimpanzee laughter also lacks the discrete, vowel-like notes of human laughter (for example, ha, ha, ha). Indeed, if one were simply to listen to chimpanzee laughter without watching the animal itself, one might not recognize it as laughter at all.
虽然黑猩猩的笑声几乎只发生在身体接触或对这种接触的威胁的回应—— 例如，在追逐期间 – 大多数成年人的笑声发生在谈话中，没有任何身体接触。我的直觉 假设人类婴儿的笑声可能更类似于黑猩猩的笑声，而不是成年人的笑声， 就与身体接触更紧密地联系而言。但据我所知，所需的研究已经 尚未进行。
While chimpanzee laughter occurs almost exclusively during physical contact or in response to the threat of such contact – for example, during a chase – most adult human laughter occurs during conversation, without any physical contact. My intuitive assumption is that laughter in human babies is likely to be more similar to that of chimpanzees than that of adult humans, in terms of being more closely associated with physical contact. But as far as I can ascertain, the required research has yet to be undertaken.
一些人认为，老鼠是人类的远亲，比黑猩猩远近，当它们被挠痒痒时也会发出声音 那可以解释为笑声。34 幼小的动物，如小狗，在玩耍时会发出声音，这似乎表明打架并不严重。它 因此，神经科学家认为人类的笑声源于进化中的活动也就不足为奇了 大脑最古老的部分，尤其是边缘系统。它包含的结构不仅存在于其他哺乳动物的大脑中，还存在于蜥蜴和 蟾蜍。皮层活动对人类的笑声也很重要。对一名患有癫痫的女性进行的一项实验发现，低强度 她皮层特定部分的电刺激使她微笑;当强度增加时，她会发作 的笑声。
Some argue that rats, far more distant relatives of humans than chimpanzees, also emit vocalizations when they are tickled that could be interpreted as laughter.34 Young animals, such as puppies, emit vocalizations during play which appear to signal that play-fights are not serious. It is not surprising, therefore, that neuroscientists believe that human laughter arises from activity in the evolutionarily oldest parts of the brain, notably the limbic system. This contains structures that are also found in the brains not only of other mammals but also of lizards and toads. Cortical activity is also important for human laughter. One experiment conducted on an epileptic woman found that low-intensity electrical stimulation of a specific part of her cortex caused her to smile; when the intensity was increased, she had fits of laughter.
虽然关于人类笑声的很多信息仍有待探索，但这一有限的证据表明它是一个进化的部分 人类的思想，IDS、唱歌、挠痒痒、面部表情和 玩。它对婴儿有益，因为它学会了如何在社交互动中使用笑声，这将在童年时期对它有所帮助。 青春期和成年期。当 IDS 用于促进语言习得时，可以得出相同的结论 – 也就是说，不仅要学习话语的含义，还要学习如何在交流中使用轮流。
While a great deal about human laughter remains to be explored, this limited evidence suggests that it is an evolved part of the human mind and that its development in early infancy is facilitated by IDS, singing, tickling, facial expressions and play. It benefits the infant because it learns how to use laughter in social interactions that will help it during childhood, adolescence and adulthood. The same conclusions can be drawn about IDS when it is used to facilitate language acquisition – that is, learning not just the meanings of utterances but also how turn-taking is used in communication.
大脑发育
Brain development
为了结束这一章，我们必须回到大脑，因为我们最终关心的是 IDS 的影响， 歌唱、欢笑和玩耍，这些都是随着婴儿成熟而形成的神经网络类型。35 我们从语言和音乐的心理模块的角度考虑了成人大脑，以及它们可能位于何处，在 上一章。在这里，我们关心的是它们如何发展以及基因和环境的相对影响 在那个过程中。
To bring this chapter to a close we must return to the brain, because we are ultimately concerned with the impact of IDS, song, laughter and play on the types of neural networks that are formed as a baby matures.35 We considered the adult brain in terms of its mental modules for language and music, and where these might be located, in the previous chapter. Here, we are concerned with how they might develop and the relative influence of genes and environment on that process.
新生人类婴儿的大脑是其成人大小的 25%。因为成人大脑的几乎所有神经元都是 在那个阶段已经存在，尺寸的增加几乎完全是由树突和轴突的生长引起的。也发生 是髓鞘形成的过程——神经胶质细胞的生长。这些“隔离”轴突并增加神经的速度 冲动在他们体内传播。尽管髓鞘形成贯穿一生，但它在出生后不久最为强烈，并起作用 在大脑的发育中起着关键作用。
The brain of a newborn human baby is 25 per cent of its adult size. As virtually all of the neurons of the adult brain are already present at that stage, the increase in size almost entirely arises from the growth of dendrites and axons. Also occurring is the process of myelination – the growth of glial cells. These ‘insulate’ the axons and increase the speed at which nerve impulses travel within them. Although myelination continues throughout life, it is most intense shortly after birth and plays a critical role in how the brain develops.
突触的形成，称为突触发生，由轴突和树突的生长产生，是 出生后不久大脑发育。似乎一些神经元会释放出充当吸引剂或驱虫剂的化学物质 轴突，这些化学物质的浓度会影响轴突的生长方向。树突状生长反应 到轴突的接近。每天形成数以百万计的新突触，这些突触与神经回路相连， 调节孩子以后的认知能力。
The formation of synapses, known as synaptogenesis, arises from the growth of axons and dendrites, and is a major factor in brain development soon after birth. It appears that some neurons release chemicals that act as either attractors or repellents to axons, and the concentrations of these chemicals then influence the direction of growth of axons. Dendritic growth responds to the approach of axons. Millions of new synapses are formed on a daily basis, and these are linked into neural circuits, conditioning the later cognitive abilities of the child.
由于许多新的突触无法存活到以后的生活中，因此关于大脑发育的关键理论之一已成为 被称为“神经达尔文主义”。36 这表明，突触最初过量产生，然后是选择性剔除。“要么使用它，要么失去它”似乎 传达的信息是：那些被使用和刺激最多的神经回路被保留下来，产生一种认知能力 最适合婴儿出生的特定环境。实验已经证明了这一点 在这种条件下，动物在感觉剥夺的条件下被饲养，然后检查它们的大脑。在环境中长大的人 仅由水平线或垂直线组成的大脑在存在这些线时更加活跃;同样地 那些在运动感知受限的环境中长大的人对运动不太敏感。至多 极端、完全的视觉剥夺会导致大脑中负责该部分的树突分支和突触的丧失 对于视力来说，它根本没有被环境刺激激活。
Since many of the new synapses do not survive into later life, one of the key theories regarding brain development has become known as ‘neural Darwinism’.36 This argues that there is an initial overproduction of synapses, followed by a selective culling. ‘Use it or lose it’ seems to be the message: those neural circuits that are most used and stimulated are retained, producing a cognitive ability that is most suitable for the particular environment into which the infant has been born. This has been demonstrated by experiments in which animals are raised in conditions of sensory deprivation and then have their brains examined. Those raised in environments made up solely of horizontal or vertical lines develop brains that are more active in the presence of such lines; similarly, those raised in conditions in which perception of movement is constrained come to be less sensitive to movement. At the most extreme, total visual deprivation can result in the loss of dendritic branching and synapses in that part of the brain responsible for vision, which has simply not been activated by environmental stimuli.
虽然这些证据支持神经达尔文主义，但似乎也有很强的理由证明“神经建构主义”——增长 响应环境刺激的树突、轴突和突触。37 在“丰富”环境中饲养的动物，可能经过特定的训练，表现出大脑的差异 结构。老鼠、猫和猴子被记录为表现出更多的 在早期发育过程中受到环境刺激时，树突状和突触生长增加 20% 以上。
While such evidence supports neural Darwinism there also seems to be a strong case for ‘neural constructivism’ – the growth of dendrites, axons and synapses in response to environmental stimuli.37 Animals raised in ‘enriched’ environments, and which may be subjected to specific training, display differences in brain structure from those raised in sterile laboratory environments. Rats, cats and monkeys have been recorded as showing a more than 20 per cent increase in dendritic and synaptic growth when subjected to environmental stimulation during early development.
我们可以将现有神经回路的选择性剔除证据与构建新神经回路的证据放在一起 由于环境刺激而循环，并且简单地注意到大脑在成长过程中表现出巨大的可塑性。这 环境刺激的程度通常很小，实际上只是触发神经发育的轨道。 例如，鉴于上述“刺激的贫困”论点，语言学习可能就是这种情况 早些时候，乔姆斯基和许多其他语言学家认为，儿童接受的环境输入——也就是说， 它听到的话语 – 太少且太模糊，除了触发和微调 他们称之为“通用语法”。
We can place the evidence for selective culling of existing neural circuits together with that for the construction of new circuits as a result of environmental stimuli and simply note that the brain displays immense plasticity as it grows. The extent of the environmental stimuli may often be minimal, effectively just a trigger to set neural development on course. This may, for instance, be the case with language learning, in light of the ‘poverty of the stimulus’ argument as mentioned earlier, Chomsky and many other linguists have argued that the environmental inputs a child receives – that is to say, the utterances it hears – are just too few and too ambiguous to allow for anything more than the triggering and fine-tuning of what they call a ‘Universal Grammar’.
无论我们处理的是神经达尔文主义还是神经建构主义，或者两者的某种结合，很明显 那些使用面部表情、手势和话语来刺激婴儿并与婴儿交流的人实际上是在塑造 婴儿的大脑形成适当的形状，成为人类社区的有效成员，无论我们是否考虑那些 作为家庭或整个社会。父母在很大程度上是凭直觉来做到这一点的——他们不需要教 IDS——并且 在促进语言习得之前，使用类似音乐的话语和手势来发展婴儿的情感能力。
Whether we are dealing with neural Darwinism or neural constructivism, or some combination of the two, it is evident that those who use facial expressions, gestures and utterances to stimulate and communicate with their babies are effectively moulding the infants’ brains into the appropriate shape to become effective members of human communities, whether we think of those as families or societies at large. Parents largely do this on an intuitive basis – they do not need to be taught IDS – and use music-like utterances and gestures to develop the emotional capacities of the infant prior to facilitating language acquisition.
7 音乐有魅力，可以治愈
7 Music hath charms and can heal
音乐、情感、医学和智力
Music, emotion, medicine and intelligence
17 世纪诗人威廉·康格里夫 （William Congreve） 声称，“音乐具有抚慰野蛮胸膛的魅力 / 软化岩石， 或弯曲一棵打结的橡树”。很少有人会不同意：无论我们的口味如何，音乐都会打动我们。1 因此，令人惊讶的是，对音乐和情感之间关系的科学研究一直有限。虽然 1950 年代后期出版了两部经典著作，伦纳德·迈耶 （Leonard Meyer） 的《音乐中的情感与意义》（Emotion and Meaning in Music） 和德里克·库克 （Deryck Cooke） 的《音乐的语言》（The Language of Music）2 音乐和情感的科学研究在 20 世纪下半叶被忽视了。3 直到最近，这个话题才开始受到应有的关注，这在学术研究的汇编中得到了例证 由 Patrik Juslin 和 John Sloboda 编辑，题为《音乐与情感》（2001 年）。4
The seventeenth-century poet William Congreve claimed that ‘Music has charms to soothe a savage breast / To soften rocks, or bend a knotted oak’. Few would disagree: music moves us, whatever our taste.1 It is surprising, therefore, that the scientific study of the relationship between music and emotion has been limited. Although two classic works were published in the later 1950s, Leonard Meyer’s Emotion and Meaning in Music and Deryck Cooke’s The Language of Music, 2 the scientific study of music and emotion was neglected in the latter part of the twentieth century.3 Only recently has the topic begun to receive the attention it deserves, exemplified in the compilation of academic studies edited by Patrik Juslin and John Sloboda entitled Music and Emotion (2001).4
将音乐普遍描述为“情感语言”是许多现代评论家不愿意的原因之一 赋予音乐本身重要的意义。传统上，情感被认为是人类理性的对立面， 我们最看重的认知能力。5 这个概念始于公元前 375 年的柏拉图，他认为我们的情绪源于大脑的下半部分和扭曲的理性。查尔斯·达尔文进一步提出了这一想法 在他 1872 年的著作《人与动物的情感表达》中。这是一本真正了不起的书，它首次使用摄影作为科学论证的辅助手段，并开始了 情感的系统研究。但达尔文的目标只是利用人们表达情感的方式 支持他的论点，即我们从类人猿的祖先进化而来的。对他来说，情感表达是我们 动物的过去，而现在由于情感已经被人类理性超越，它现在没有任何功能价值。想想路 我们将人们描述为“过度情绪化”，您会意识到我们今天仍然有这种感觉。
The popular characterization of music as the ‘language of emotion’ is one reason why many modern commentators have been unwilling to accord music itself much significance. Traditionally, the emotions have been thought of as the antithesis of human rationality, our most valued cognitive ability.5 This notion began with Plato in 375 BCE, who argued that our emotions arose from a lower part of the brain and perverted reason. Charles Darwin furthered this idea in his 1872 book, The Expression of Emotions in Man and Animals. This was a truly remarkable book, which made the first use of photography as an aid to scientific argument and which began the systematic study of emotion. But Darwin’s aim was simply to use the manner in which people express their emotions as a means to support his argument that we evolved from ape-like ancestors. For him, emotional expression was a vestige of our animal past, and one now lacking any functional value because emotion had been surpassed by human reason. Think of the way we describe people as being ‘over-emotional’ and you’ll realize that we still feel that way today.
然而，过去十年见证了学术界对人类情感的态度发生了翻天覆地的变化，现在使他们 处于人类思想的中心和人类心态的进化。正如哲学家迪伦·埃文斯（Dylan Evans）在他的新书《情感：情感的科学》（Emotion： The Science of Sentiment）中所解释的那样，《星际迷航》中的斯波克先生的超理性性，一个从决策中消除了情感的生物，实际上永远不会进化，因为情感存在于 世界上智能行动的根源。6
The last decade, however, has witnessed a sea change in academic attitudes towards human emotions, which has now placed them at the centre of human thought and the evolution of human mentality. As the philosopher Dylan Evans explained in his recent book, Emotion: The Science of Sentiment, the ultra-rationality of Mr Spock from Star Trek, a creature who has eliminated emotion from his decision-making, could in fact never have evolved because emotion lies at the root of intelligent action in the world.6
情绪作为行动指南
Emotions as guide to action
20 世纪见证了研究情感的不同方法，并围绕该主题发展了大量文献， 从西格蒙德·弗洛伊德 （Sigmund Freud） 和威廉·詹姆斯 （William James） 的经典著作到神经科学家约瑟夫·勒杜 （Joseph LeDoux） 和 安东尼奥·达马西奥。7 人们曾经认为，所有的情感都是由文化构建的，因此特定于每个特定的社会。此视图 现在已经被人们认识到某些情绪对我们物种的所有成员都是普遍的。8 这些情绪已经通过我们的进化历史与人类的基因组相连，而这本身就表明它们确实如此 不仅仅是精神上的烦恼。
The twentieth century saw diverse approaches to the study of emotion and an enormous literature developed around the topic, ranging from the classic works of Sigmund Freud and William James to recent work by the neuroscientists Joseph LeDoux and Antonio Damasio.7 It was once thought that all emotions are culturally constructed and hence specific to each particular society. This view has now been surpassed by the recognition that some emotions are universal to all members of our species.8 Such emotions have been wired into the human genome by our evolutionary history, and that in itself suggests that they are more than mere mental frippery.
普遍或“基本”情绪的确切数量和定义因咨询的学术权威而异。 但它们总是快乐、悲伤、愤怒、恐惧和厌恶的变体。无论访问哪种人类文化，这些 将找到情绪，以及伴随它们的常见面部和身体表情。我们必须假设 如果一个人能参观那些不复存在的史前智人文化，也会发现情感和表情。事实上，我们可以确信，这种情绪存在于我们所有的祖先和亲戚中 至少在 600 万年前，因为它们也被现代类人猿所附身。
The precise number and definition of the universal or ‘basic’ emotions vary according to which academic authority is consulted, but they are always variants of happiness, sadness, anger, fear and disgust. No matter which human culture one visits, these emotions will be found, along with the common facial and bodily expressions that accompany them. One must assume that such emotions and expressions would also be found if one could visit those cultures of prehistoric Homo sapiens that no longer exist. Indeed, we can be confident that such emotions existed among all of our ancestors and relatives back to at least 6 million years ago, because they are also possessed by the modern great apes.
简·古道尔 （Jane Goodall） 和其他人对黑猩猩社会生活的细致观察描述了它们的行为几乎相同 对处于高度情绪状态的人类：婴儿发脾气、男性行为咄咄逼人、少年玩耍 彼此相爱，也与他们的母亲相爱。9 虽然我们不知道黑猩猩的主观经历——就像我们无法穿透别人的感受一样 人类 – 不将愤怒、悲伤、快乐和恐惧等感受归咎于他们是有悖常理的。
Meticulous observations of chimpanzee social life by Jane Goodall and others have described them behaving almost identically to human beings when in highly emotional states: infants having temper tantrums, males acting aggressively, juveniles playing lovingly with each other and with their mothers.9 Although we have no knowledge of the chimpanzees’ subjective experiences – just as we cannot penetrate the feelings of another human being – it would be perverse not to attribute to them such feelings as anger, sadness, happiness and fear.
我们是否也应该将心理学家所说的“复杂情绪”归咎于猿类，这更具争议性。这些是 羞愧、内疚、尴尬、蔑视和爱等情绪。这些在黑猩猩的行为中更难识别 ——也更难声称是人类的普遍性，因为它们可能依赖于一个或多个的发展 特定文化和历史背景下的基本情感。
Whether we should also attribute to apes what psychologists describe as ‘complex emotions’ is more contentious. These are emotions such as shame, guilt, embarrassment, contempt and love. These are far harder to identify in chimpanzee behaviour – and also more difficult to claim as human universals, because they may be dependent upon the development of one or more basic emotions within a particular cultural and historical setting.
但是为什么人类和黑猩猩应该有情感呢？我想遵循的论点是已经发展得最充分的论点 由心理学家 Keith Oatley 和 Philip Johnson-Laird 撰写，尽管其基本要素与许多其他理论相同。10 首先要认识到，任何生物都必须不断地在不同的行动方案之间做出选择：应该 继续执行当前任务还是执行其他操作？一个人应该与另一个人合作还是竞争？应该一个 面对恶霸或潜在的掠夺者时逃跑或战斗？一个极端理性的生物，比如斯波克先生，会解决这样的问题 问题完全通过逻辑，仔细衡量每种选择的成本、收益和风险，然后进行一些 心算来确定最佳选择。但斯波克先生并不生活在现实世界中。当我们和其他动物 必须做出决定，我们必须在信息不完整、目标冲突和时间有限的情况下做出决定。在这些压力下， 对所有可能性进行逻辑搜索并确定最佳行动方案是不可能的。
But why should humans and chimpanzees have emotions? The argument I wish to follow is that which has been most fully developed by the psychologists Keith Oatley and Philip Johnson-Laird, although its basic elements are shared by numerous other theories.10 The starting point is to recognize that any living being constantly has to choose between different courses of action: should one continue with a current task or do something else? should one cooperate or compete with another individual? should one flee or fight when faced with a bully or a potential predator? An ultra-rational creature, such as Mr Spock, would solve such problems entirely by logic, carefully measuring the costs, benefits and risks of each alternative and then undertaking some mental mathematics to identify the optimal choice. But Mr Spock does not live in the real world. When we and other animals have to make decisions, we must do so with partial information, conflicting aims and limited time. Under these pressures, it is simply impossible to undertake a logical search through all the possibilities and identify the optimal course of action.
Oatley 和 Johnson-Laird 认为，情绪指导行动，在知识不完善和多重冲突的情况下 目标 – 一种也称为“有限理性”的状态。情绪会改变我们的大脑状态并提供可用的曲目 之前在类似情况下有用的操作。在承担任何任务时，我们都会为自己设定目标并 子目标，无论是有意识的还是潜意识的。当这些目标实现时，我们会感到快乐，这起到了一种情绪的作用 发出信号以继续执行任务。然而，如果我们感到难过，这就表明我们完全停止任务，寻找一个新的 计划或寻求帮助。愤怒表明任务受挫，我们应该更加努力;而恐惧向我们发出信号 停止当前任务并警惕地关注环境，冻结或逃脱。Oatley 和 Johnson-Laird 解释 其他情绪，例如爱、厌恶和蔑视，也以类似的方式。因此，我们的情绪对“理性”至关重要 思想;没有它们，我们在与物理和社会世界的互动中将完全受阻。
Oatley and Johnson-Laird argue that emotions guide action in, situations of imperfect knowledge and multiple, conflicting goals – a state that is otherwise known as ‘bounded rationality’. Emotions alter our brain states and make available repertoires of actions that have previously been useful in similar circumstances. When undertaking any task, we set ourselves goals and sub-goals, either consciously or subconsciously. We feel happy when such goals are achieved, and this acts as an emotional signal to continue with the task. If, however, we feel sad, this signals us to stop the task altogether, to search for a new plan, or to seek help. Anger signals that the task is being frustrated and that we should try harder; while fear signals us to stop the current task and attend vigilantly to the environment, to freeze or to escape. Oatley and Johnson-Laird explain other emotions, such as love, disgust and contempt, in a similar fashion. Our emotions, therefore, are critical to ‘rational’ thought; without them we would be entirely stymied in our interactions with the physical and social worlds.
后者，即社会世界，为人类提供了最大的认知挑战。确实如此 应对生活在大型社会群体中的需求，这为人类的起源提供了最可能的解释 情报。因此，我们更复杂的情感与我们的社会关系直接相关也就不足为奇了。没有 这样的情绪，我们在社交上是无能的;事实上，我们可能没有意识到社会世界的复杂性和微妙之处 在我们周围，并且在我们的社会关系中将完全失败。
It is the latter of these, the social world, that provides the greatest cognitive challenge to human beings. Indeed, it is coping with the demands of living in large social groups that provides the most likely explanation for the origin of human intelligence. And so it is not surprising that our more complex emotions relate directly to our social relationships. Without such emotions we would be socially inept; in fact, we would be unaware of the complexities and subtleties of the social world around us, and would fail entirely in our social relationships.
康奈尔大学（Cornell University）经济学家罗伯特·弗兰克（Robert Frank）在他1988年出版的《没有理由的激情》（Passions Without Reason）一书中对此提出了最有说服力的论点。11 他认为，内疚、嫉妒和爱等情绪使我们的行为方式可能与我们的直接行为相反 自身利益，但从长远来看，这使我们能够取得社会成功。因此，他将情绪描述为具有“战略性” 在我们的社交生活中的角色。与拥有这种情绪同样重要的是，别人知道我们拥有它们。罪恶感是 典型的例子。如果别人知道你容易感到内疚，他们就更有可能信任你，因为 他们会知道你不太可能双重穿越他们;即使这样做可能符合您自己的直接利益， 你预期的内疚感会阻止你走那条路。同样，知道你的伴侣 “爱” 您使您能够与他们签订实质性承诺，例如分享财产和孩子，而不必担心 一旦外表更有吸引力或更富有的人出现，他们就会离开你。如果没有这种情绪，并且 所有决定都是根据对“理性”自身利益的短期计算做出的，即内部合作的程度 社会将是最小的，并且将仅限于与一个人有密切生物学关系的人。正如罗伯特·弗兰克 （Robert Frank） 所做的那样 在他的书中清楚地表明，人类社会根本不是那样的，因为人们的合作和善意行为会带来好处 没有直接的好处是普遍的。
Robert Frank, an economist from Cornell University, made the most persuasive argument to this effect in his 1988 book, Passions Without Reason.11 He argued that emotions such as guilt, envy and love predispose us to behave in ways that may be contrary to our immediate self-interest but that enable us to achieve social success in the longer term. Hence he describes emotions as having a ‘strategic’ role in our social lives. As important as having such emotions is the fact that others know that we possess them. Guilt is the classic example. If others know that you are liable to suffer from guilt, they will be more likely to trust you, because they will know that you are less likely to double-cross them; even though to do so may be in your own immediate interest, your anticipated feelings of guilt will prevent you from taking that course. Similarly, knowing that your partner ‘loves’ you enables you to enter into substantial commitments with them, such as sharing property and children, without the fear that they will leave you as soon as someone physically more attractive or wealthy comes along. If such emotions were absent and all decisions were made according to short-term calculations of ‘rational’ self-interest, the extent of cooperation within society would be minimal and would be restricted to those to whom one is closely biologically related. As Robert Frank made clear in his book, human society is simply not like that, for acts of cooperation and kindness from people who stand to gain no immediate benefit are pervasive.
正是出于这个原因，我强烈怀疑所有大脑原始人的社会中都存在复杂的情感。 尼安德特人等物种生活在比今天的非人类灵长类动物更大、更复杂的社会群体中;如 我将在第 14 章和第 15 章中阐明，合作对他们的生存至关重要。尼安德特人只能活下来 在欧洲充满挑战的冰河时代条件下，如果他们不仅能够感到快乐、悲伤和愤怒， 但也遭受了内疚、羞愧和尴尬的痛苦，以及爱的欣喜。
It is for this reason that I strongly suspect that complex emotions were present in the societies of all large-brained hominids. Species such as Neanderthals lived in social groups much larger and more complex than those of non-human primates today; as I will make clear in chapters 14 and 15, cooperation was essential for their survival. The Neanderthals could only have survived for so long in the challenging ice-age conditions of Europe if they were not only capable of feeling happy, sad and angry, but also suffered the pains of guilt, shame and embarrassment, along with the elation of love.
让它被知道
Letting it be known
罗伯特·弗兰克 （Robert Frank） 强调，不仅要体验情绪的重要性，还要通过面部护理向他人展示情绪 表情、肢体语言和发声。心理学家保罗·埃克曼 （Paul Ekman） 二十多年的研究证明 愤怒、恐惧、内疚、惊讶、厌恶、轻蔑、悲伤、悲伤和快乐的面部表情是普遍的—— 对所有文化中的所有人都是通用的。12 事实上，查尔斯·达尔文本人在《人和动物的情感表达》中表明，这种表达的基础也在猿类身上找到。因此，我们必须预料到，人类的祖先也是善于表达的 他们的情感，也许与现代人非常相似。
Robert Frank stresses the significance not only of experiencing emotions but also of displaying them to others via facial expressions, body language and vocal utterances. More than twenty years of study by the psychologist Paul Ekman have demonstrated that facial expressions for anger, fear, guilt, surprise, disgust, contempt, sadness, grief and happiness are universal – common to all people in all cultures.12 Indeed, Charles Darwin himself, in The Expression of Emotions in Man and Animals, showed that the bases of such expressions are also found in apes. So we must expect that human ancestors were also expressive of their emotions, perhaps in a very similar fashion to modern humans.
有人声称耸肩，手掌上翘，眉毛上扬，用来表示缺乏知识或理解 作为通用手势。肢体语言的其他元素没有。我的知识，在跨文化基础上进行了研究， 但它们的普遍性并不令人惊讶：双臂交叉在胸前作为防御姿态;手对口手势 撒谎或掩盖尴尬时;双手搓搓以表示积极的期望;不同的类型 握手和亲吻，以表明对被问候者的不同态度。
The shoulder shrug with upturned palms and a raised brow, used to express a lack of knowledge or understanding, has been claimed as a universal gesture. Other elements of body language have not, to. my knowledge, been studied on a cross-cultural basis, but their universality would not be surprising: arms folded across the chest as a defensive gesture; the hand-to-mouth gesture when telling a lie or covering embarrassment; rubbing the hands together to indicate a positive expectation; differing types of handshakes and kisses to indicate different attitudes towards the person being greeted.
表情和肢体语言可以伪造，因此人们可能会试图通过伪装来获得优势。但是，存在限制 由无法控制的肌肉运动和其他表达真实感受的生理事件所施加。Ekman 描述 一些面部肌肉是“可靠的”，因为它们不能被故意操纵。例如，只有 10% 的人 可以故意将嘴角往下拉，而不动下巴肌肉。但几乎每个人都这样做，没有 任何意图，当他们感到悲伤或悲伤时。人们也不断地通过“微表情”泄露自己的真实感受 – 转瞬即逝的表情或手势，然后可能会被旨在反映情感的完全不同的表情所取代 个人希望投射。此外，生理变化，如瞳孔放大、脸红和出汗、 非常困难——有些人说不可能——伪造，并且会泄露出高度兴奋的感觉。预防也是困难的 当一个人情绪不安时，声音的音调会提高。
Expressions and body language can be faked and hence one may seek to gain advantage by pretence. There are, however, limits imposed by the uncontrollable muscle movements and other physiological events that express one’s true feelings. Ekman describes some facial muscles as ‘reliable’ in that they cannot be deliberately manipulated. Only 10 per cent of people, for instance, can intentionally pull the corner of their mouth down without moving their chin muscles. But almost everyone does so, without any intent, when they experience sadness or grief. People also constantly give away their true feelings by ‘micro-expressions’ – fleeting expressions or gestures, which might then be replaced by a quite different expression intended to reflect the emotion the individual wishes to project. Also, physiological changes, such as dilation of the pupils, blushing and perspiration, are very difficult-some say impossible – to fake and will give away feelings of high arousal. It is difficult, too, to prevent the pitch of one’s voice increasing when one is emotionally upset.
我们通常非常重视能够从某人的表情中“读懂”他们的情绪状态，尤其是 那紧紧围绕着眼睛。剑桥心理学家西蒙·巴伦-科恩 （Simon Baron-Cohen） 声称，女性更擅长做事 这比男性要多，这可能反映了不同类型的认知技能。13 无论情况是否如此，从他以及 Frank 和 Ekman 的工作中可以明显看出，人类已经进化了 不仅是情感，为了使它们能够在世界上聪明地行动，而且是为了表达它们的倾向和 在他人中解释此类表达的能力。这种表达的关键手段之一是音乐的创作。
We generally place considerable value on being able to ‘read’ the emotional state of someone from their expression, especially that immediately around the eyes. Simon Baron-Cohen, the Cambridge psychologist, claims that women are rather better at doing this than men and that this may reflect different types of cognitive skills.13 Whether or not that is the case, it is evident from his work, along with that of Frank and Ekman, that humans have evolved not only emotions, in order to enable them to act intelligently in the world, but also the propensity to express them and the ability to interpret such expressions in others. One of the key means of such expression is the creation of music.
音乐的语言
The language of music
我们经常通过唱歌、演奏乐器或听 CD 来制作音乐，以表达我们的感受。我 在阳光明媚的周日早晨，自己的房子里回荡着维瓦尔第的《格洛丽亚》，而比莉·霍乐迪的挽歌则从我的书房里渗出 当我情绪低落时。但我们也将音乐用于其他目的：在自己和他人内引发一种情绪化。 因此，当我感觉“老了”时，我会扮演布兰妮·斯皮尔斯（Britney Spears），正如我的孩子们告诉我的那样，这是“相当悲伤的”;当我需要阻止他们争吵时，我就用巴赫的音乐填满屋子。
We often make music, either by singing, playing instruments or listening to CDs, in order to express how we are feeling. My own house reverberates with Vivaldi’s Gloria on sunny Sunday mornings, while the dirges of Billie Holiday seep from my study when I’m feeling down. But we also use music for something else: to induce an emotional mood within ourselves and within others. Hence when I am feeling ‘old’, I play Britney Spears, which is, as my children tell me, ‘rather sad’; and when I need to stop them squabbling I. fill the house with the music of Bach.
情绪与情绪略有不同;前者是一种持续几分钟、几小时甚至几天的持久感觉， 而后者可能是一种非常短暂的感觉。例如，迪伦·埃文斯 （Dylan Evans） 将喜悦的感觉描述为一种情绪， 而快乐则是一种情绪，一个人可能由于快乐的体验而进入这种情绪。
A mood is slightly different from an emotion; the former is a prolonged feeling that lasts over minutes, hours or even days, while the latter may be a very short-lived feeling. Dylan Evans, for instance, would describe the feeling of joy as an emotion, but happiness as a mood which one might enter into as a consequence of a joyful experience.
我们都知道，特定类型的音乐可以诱发特定类型的情绪;我们在约会时播放柔和、浪漫的音乐来诱导 性爱、婚礼上令人振奋、乐观的音乐，以及葬礼上的挽歌。开明的工厂管理者演奏音乐提高 当员工必须从事简单的重复性工作时，他们的士气会很高，而牙医和外科医生则使用音乐来舒缓和放松 他们的病人，有时效果如此惊人，以至于麻醉剂变得多余。心理学家在使用 希望在为他们的受试者设置要完成的实验任务之前诱导他们特定的情绪。当心理学家 印第安纳大学的 Paula Niedenthal 和她的同事 Marc Setterlund 需要那些让他们玩得开心的受试者 他们是维瓦尔第和莫扎特;当他们需要悲伤的主题时，他们使用马勒或拉赫玛尼诺夫的音乐。14
We all know that specific types of music can induce specific types of mood; we play soft, romantic music on a date to induce sexual love, uplifting, optimistic music at weddings, and dirges at funerals. Enlightened factory managers play music to improve employee morale when they have to undertake simple repetitive jobs, while dentists and surgeons use music to soothe and relax their patients, sometimes with such astonishing results that anaesthetics become redundant. Psychologists use music when they wish to induce particular moods in their subjects prior to setting them an experimental task to complete. When the psychologist Paula Niedenthal of Indiana University and her colleague Marc Setterlund needed subjects who were feeling happy they played them Vivaldi and Mozart; when they required sad subjects they used music by Mahler or Rachmaninov.14
在他 1959 年出版的《音乐的语言》一书中，音乐学家德里克·库克 （Deryck Cooke） 试图确定音乐的哪些元素表达并诱发了哪些情感。他专注 关于 1400 年至 1950 年间西欧的音调音乐，并认为其情感力量的来源在于系统 不同音高之间的关系——他称之为“音调张力”。他通过支持普遍的 持有大调音阶表达积极情绪的想法，如喜悦、自信、爱、宁静和胜利，而小调音阶 量表表达负面情绪，例如悲伤、恐惧、仇恨和绝望。库克认为，这种关联是从长期来看产生的 西方音乐史：在被一些作曲家使用之后，相同的联想被一次又一次地使用，直到他们 成为西方文化的一部分。他指出，其他音乐传统，如印度、非洲或中国的音乐传统，都使用相当 表达相同情感的方式不同。
In his 1959 book, The Language of Music, the musicologist Deryck Cooke attempted to identify which elements of music express and induce which emotions. He focused on the tonal music of Western Europe between 1400 and 1950, and argued that the source of its emotive power lies in the systems of relationship between different pitches – what he refers to as ‘tonal tensions’. He began his work by supporting the commonly held idea that major scales express positive emotions such as joy, confidence, love, serenity and triumph, while the minor scales express negative emotions such as sorrow, fear, hate and despair. Such associations arose, Cooke argued, from the long-term history of Western music: having been used by some composers, the same associations were then used again and again until they became part’ of Western culture. He noted that other musical traditions, such as those of India, Africa or China, use quite different means to express the same emotions.
我对库克对特定音乐表现形式和特定音乐表达之间文化继承的联系的依赖持谨慎态度 情绪，怀疑存在全人类普遍存在的尚未充分探索的关联。约翰·布莱金 当他在 1973 年反思库克的想法时，他也很谨慎：
I am cautious about Cooke’s reliance on a culturally inherited association between particular musical expressions and particular emotions, suspecting that there are associations universal to all humans that have yet to be fully explored. John Blacking was also cautious when he reflected on Cooke’s ideas back in 1973:
我很难接受 1612 年的英国和 1893 年的俄罗斯之间一直存在着连续的音乐传统。 哪些音乐人物具有相应的情感内涵。这种论点的唯一理由是，情感意义 的间隔源于人类生理学和心理学的基本特征。如果是这样，则某种关系 音乐间隔和人类情感之间应该是普遍的。15
I find it hard to accept that there has been a continuous musical tradition between England in 1612 and Russia in 1893, in which certain musical figures have had corresponding emotional connotations. The only justification for such an argument would be that the emotional significance of certain intervals arises from fundamental features of human physiology and psychology. If this is so, some relationship between musical intervals and human feelings ought to be universal.15
正在进行的研究开始证明，这种普遍关系确实存在。2003 年，Hella Oelman 和 特罗姆瑟大学的心理学家布鲁诺·洛昂 （Bruno Loeng） 证明了情绪之间的高度一致性 不同个体归因于特定音乐间隔的含义。他们的对象是挪威人，他们曾经 适应了西方音乐传统。Oelman 和 Loeng 指出，与 情感和特定的音乐间隔以前被发现与古印度音乐有关——一个激进的 不同的音乐传统。他们的结论是，“这些含义似乎与音乐剧的情感体验有关 人类跨越文化和时间的间隔，因此可能是普遍的“，16 证实了布莱金的直觉。事实上，库克本人似乎经常对这种观点表示同情，因为他经常提到 到由特定音调张力产生的情感的“自然性”。
Ongoing research is beginning to demonstrate that such universal relationships do indeed exist. In 2003, Hella Oelman and Bruno Loeng, psychologists from the University of Tromsø, demonstrated a significant degree of agreement between the emotional meanings that different individuals attributed to a particular musical interval. Their subjects were Norwegians who had been acculturated to a Western musical tradition. Oelman and Loeng noted that precisely the same associations between particular emotions and particular musical intervals had previously been found in connection with ancient Indian music – a radically different musical tradition. Their conclusion, that ‘these meanings seem to be relevant for the emotional experience of musical intervals of humans across cultures and time, and thus might be universal’, 16 confirms Blacking’s intuition. Indeed, Cooke himself often appears to be sympathetic to this view, for he frequently refers to the ‘naturalness’ of the emotions arising from a particular tonal tension.
库克系统地研究了十二音音阶的关系，并借鉴了音乐实例 从平淡无奇到斯特拉文斯基，以说明特定关系如何表达特定情感。根据 对 Cooke 来说，是高兴或幸福的表达;因此，它构成了贝多芬合唱《欢乐颂》的基础 交响曲，威尔第在《茶花女》中被使用，瓦格纳在《莱茵河畔》中被使用，斯特拉文斯基在他的《诗篇交响曲》中被使用，肖斯塔科维奇在他的《第五交响曲》中使用。此外，为了避免精英主义的说法，库克解释说，“Polly-Wolly-Doodle” 显示了大三度在流行水平上的相同用法。相反，当这些作曲家希望表达痛苦的情感时 它们突出了小三度，就像贝多芬、柴可夫斯基和马勒的“充满厄运”的第一乐章一样 第五交响曲。总的来说，库克声称，“'自然'愉快的大三度和'非自然'之间的强烈对比 Painful Third 在整个音乐史上都被利用了”。17
Cooke systematically worked his way through the relationships of the twelve-note tonal scale, drawing on musical examples from plainsong to Stravinsky to illustrate how particular relationships express particular emotions. The major third is, according to Cooke, an expression of pleasure or happiness; for this reason it forms the basis for Beethoven’s ‘Ode to Joy’ in the Choral Symphony, and is used by Verdi in La Traviata, Wagner in Das Rheingold, Stravinsky in his Symphony of Psalms, and Shostakovich in his Fifth Symphony. Moreover, wishing to avoid the claim of elitism, Cooke explained that ‘Polly-Wolly-Doodle’ shows the same use of the major third at a popular level. Conversely, when such composers wished to express painful emotions they bring the minor third into prominence, as in the ‘doom-laden’ first movements of Beethoven’s, Tchaikovsky’s and Mahler’s Fifth Symphonies. Overall, Cooke claimed, ‘the strong contrast between the “natural” pleasurable major third and the “unnatural” painful third has been exploited throughout musical history’.17
库克继续对十二音音阶中的其他关系进行分析，并提出了诸如此类的论点 小七度表达悲哀，而大七度表达强烈的渴望和渴望。这样的调性关系， 然而，它只为音乐的“语言”提供了基础——库克将音量、节奏、速度和音高描述为 一首音乐的“活化剂”。
Cooke continued his analysis with each of the other relationships in the twelve-note scale, making arguments such as that the minor seventh expresses mournfulness while the major seventh expresses violent longing and aspiration. Such tonal relationships, however, provide no more than a basis for the ‘language’ of music – Cooke described volume, rhythm, tempo and pitch as the ‘vitalizing agents’ of a piece of music.
因此，音乐播放得越响亮，所表达的情感就越被强调;相反，较柔和 强调较少。节奏和速度用于强调音序中的特定音符，因此 限定所表达的特定情感。库克认为，音调张力的某种进展所表达的喜悦 如果速度是快板，则可能是动荡的，如果是 moderato，则可能是随和的，如果是柔板，则可能是宁静的;另一种进展所表达的绝望 如果速度是 presto，则可能是歇斯底里的，如果是 lento，则可能是无奈的。
Thus the louder the music is played, the more emphasis is given to whatever emotion is being expressed; conversely, the softer, the less emphasis. Rhythm and tempo are used to throw emphasis onto particular notes within a tonal sequence and hence to qualify the particular emotion being expressed. Cooke argued that the joy expressed by a certain progression of tonal tensions may be tumultuous if the tempo is allegro, easy-going if moderato and serene if adagio; the despair expressed by another progression may be hysterical if the tempo is presto or resigned if lento.
虽然每个人都认为音高是音乐的“起伏”维度，但库克认为我们也应该将其视为 音乐的“out-and-in”和“away-and-back”。通过这样做，我们可以更容易地理解上升或下降的重要性 音乐的情感内容：Cooke 解释说，“上升音高的表现力首先是一种”外向” 情感：根据音调、节奏和动态背景，其效果可以是主动的、自信的、肯定的、侵略性的、 奋斗、抗议或有抱负。下降音高的表现力是情感的“传入”：根据上下文， 它可以是放松的、屈服的、被动的、赞同的、欢迎的、接受的或持久的。18
While pitch is felt by everyone to be ‘up-and-down’ dimension of music Cooke argued that we should also think of it as the ‘out-and-in’ and the ‘away-and-back’ of music. By doing so, we can more readily appreciate the significance of rising or falling pitch for the emotional content of music: The expressive quality of rising pitch’, Cooke explained, ‘is above all an “outgoing’’ of emotion: depending on the tonal, rhythmic and dynamic context, its effect can be active, assertive, affirmative, aggressive, striving, protesting, or aspiring. The expressive quality of falling pitch is of an “incoming” of emotion: depending on context, it can be relaxed, yielding, passive, assenting, welcoming, accepting, or enduring.’18
因此，在大调音阶中提高音高通常是表达一种外向的愉悦感：对喜悦的兴奋肯定， 如贝多芬《莱奥诺拉第三序曲》快速、响亮的高潮;平静、强调的喜悦肯定，如巴赫 B 小调弥撒中缓慢而响亮的“Gratias”;还是平静、安静、喜悦 aspiration，就像沃恩·威廉姆斯 （Vaughan Williams） 的《第五交响曲》缓慢而柔和的结尾一样。相反，在小调音阶中下降 是为了表达一种即将到来的痛苦感，例如柴可夫斯基《悲怆交响曲》终曲缓慢而响亮的开场中的强烈绝望。尽管这些从库克的作品中得出的例子非常具体，但他认为所有的音乐都有一个持续的波动 的音调，这与所表达的情感的起伏相吻合。
So, to rise in pitch in a major scale is normally to express an outgoing feeling of pleasure: an excited affirmation of joy, as in the fast, loud climax of Beethoven’s Overture Leonora No. 3; a calm, emphatic affirmation of joy, as in the slow and loud ‘Gratias’ in Bach’s B Minor Mass; or a calm, quiet, joyful aspiration, as in the slow and soft ending of Vaughan Williams’s Fifth Symphony. Conversely, to fall in pitch in a minor scale is to express an incoming feeling of pain, such as fierce despair in the slow and loud opening of the finale to Tchaikovsky’s Pathétique Symphony. Although these examples drawn from Cooke’s work are very specific, he argued that all music has a continuous fluctuation of pitch which accords with the ebb and flow of the emotions being expressed.
它在实践中有效吗？
Does it work in practice?
我只提供了对库克关于“音乐语言”的关键论点的简要总结。他的书中包含了许多 更多的例子——例如，重复和断奏在为情感表达提供进一步范围方面的作用。 除了极少数例外，它借鉴了伟大作曲家的作品，这些作品传统上一直由现在演奏 伟大的管弦乐队到社会中相对较小的有机会和/或有意愿参加音乐会的群体。 但库克的论点应该是一般性的，因此应该适用于所有形式的流行音乐和所有语境 的绩效。此外，我们关注的是人们对音乐如何表达情感的直观理解。因此，在这里我们应该转向乌普萨拉大学心理学家帕特里克·朱斯林 （Patrik Juslin） 的工作，以及他仔细的实验 以及详细的统计分析，调查速度、响度、节奏、音高等的变化如何引起不同的 情绪的类型。19
I have provided no more than a brief summary of Cooke’s key arguments about the ‘language of music’. His book contains many more examples-addressing, for instance, the role of repetition and staccato in providing further range to emotional expression. With very few exceptions, it draws on the works of great composers, which traditionally have been, and still are, played by great orchestras to the relatively small section of society that has the opportunity and/or the desire to attend concerts. But Cooke’s arguments are supposed to be general and therefore should apply to all forms of popular music and all contexts of performance. Moreover, our concern is with the intuitive understanding that people have of how music can express emotion. So here we should turn to the work of Patrik Juslin, a psychologist at Uppsala University, and his careful experimentation and detailed statistical analyses investigating how variations in tempo, loudness, rhythm, pitch and so forth induce different types of emotions.19
1997 年，Juslin 发表了两组相关实验的结果，其中音乐是由电吉他产生的。 首先，他想确定音乐家自己是如何通过他们的乐器来表达特定的情感的。他给了 三位专业音乐家演奏五种不同的旋律，被选中在他们的 旋律结构：《Greensleeves》、《Nobody Knows》、《Let It Be》、《When the Saints Go Marching In》和《What Shall We Do with》 醉酒的水手”。他们被要求以他们认为合适的任何方式演奏每首曲子，以便听起来像 高兴，然后是悲伤、愤怒、恐惧，最后是情绪中立。音乐家不允许对 音高、旋律或吉他声音。在这些限制下，他们可以随心所欲地演奏棋子，但他们必须这样做 不知道其他人是如何选择表达指定的情绪的。
In 1997, Juslin published the results of two related sets of experiments, in which the music was generated by electric guitars. First, he wanted to identify how musicians themselves sought to express specific emotions through their instruments. He gave three professional musicians five different melodies to play, chosen to cover somewhat varying emotional characters in their melodic structures: ‘Greensleeves’, ‘Nobody Knows’, ‘Let It Be’, ‘When the Saints Go Marching In’, and ‘What Shall We Do with the Drunken Sailor’. They were asked to play each piece in whatever manner they thought appropriate so that they would sound happy, then sad, angry, fearful, and finally emotionally neutral. The musicians were not allowed to make any changes to the pitches, melodies or guitar sound. Under these constraints, they could play the pieces as they wished, but they would do so with no knowledge of how the others chose to express the specified emotions.
结果显示音乐家之间相当一致，表明不同的演奏风格是相关的 与每个预期的情感表达。当试图表达愤怒时，音乐以快节奏大声播放 和连奏发音;对于 Sadness，选择了慢速、连奏发音和低音量;表达了快乐 节奏快，声音高，断奏;恐惧与低声级、断奏发音有关 和缓慢的节奏。
The results showed considerable concordance among the musicians, indicating that distinct styles of playing were associated with each of the intended emotional expressions. When seeking to express anger, the music was played loudly, with a fast tempo and legato articulation; for sadness, a slow tempo, legato articulation and low sound levels were chosen; happiness was expressed with a fast tempo, high sound level and staccato articulation; fear was associated with a low sound level, staccato articulation and a slow tempo.
然而，确定特定情感在音乐上表达的方式只是 Juslin 的第一部分 实验。第二个是探索听众是否能够正确识别音乐家正在尝试的情感 来表达。为此，Juslin 使用了 24 名学生。其中一半受过音乐训练;一半没有密切参与 与音乐。他们被要求听 15 场 “When the Saints Go Marching In” 的表演，并将每场表演评为 到它是快乐、悲伤、愤怒还是恐惧。
However, identifying the manner in which particular emotions were musically expressed was just the first part of Juslin’s experiment. The second was to explore whether listeners were able correctly to identify which emotion the musicians were attempting to express. For this, Juslin used twenty-four students. Half of these were musically trained; half had no close involvement with music. They were asked to listen to fifteen performances of ‘When the Saints Go Marching In’ and to rate each one as to whether it was happy, sad, angry or fearful.
Juslin 发现音乐家想要的情感与听众相信的情感之间存在非常强的相关性 正在表达。快乐、悲伤和愤怒都相对容易识别;恐惧稍微困难一些，但 在绝大多数 “fearful” 表演中都得到了成功的认可。听众是受过训练的音乐家 没有比没有专业音乐知识的人更大的成功，但女性的成功略高于男性。Juslin 有 预料到这种性别差异——如上所述，研究表明，女性更善于识别情绪状态 来自面部表情和肢体语言。20
Juslin found a very strong correlation between the emotion intended by the musicians and that which the listeners believed was being expressed. Happiness, sadness and anger were all relatively easy to identify; fear was a little more difficult but was successfully recognized in the great majority of ‘fearful’ performances. The listeners who were trained musicians had no greater success than those without expert musical knowledge, but women had slightly greater success than men. Juslin had expected this gender difference-research, as mentioned above, has shown that women are better at recognizing emotional states from facial expressions and body language.20
而 Juslin 的作品表明，既不需要管弦乐队，也不需要贝多芬、维瓦尔第或柴可夫斯基的乐谱 为了通过音乐表达情感，并让听众能够识别这种情感，电吉他的音乐是 与我们的人类祖先所创造的相去甚远。但类似的实验探索了情感是如何表达的 仅凭 The Voice 就产生了类似的结果。日内瓦大学的心理学家 Klaus Scherer 专门研究了 在这个地区。21 再一次，我们所有人在直觉上都很明显，这是人类语言的一个常规和关键方面;贯穿始终的演说家 历史上，从西塞罗到丘吉尔，都用声音来诱发情感并激发人们采取行动。然而，我们的科学理解 人声声学如何表达情感仍然有限。
While Juslin’s work has shown that one requires neither an orchestra nor a score by Beethoven, Vivaldi or Tchaikovsky in order to express emotion through music and for listeners to be able to identify that emotion, the music from electric guitars is rather distant from that which our human ancestors would have made. But similar experiments exploring how emotion is expressed by the voice alone have produced similar results. Klaus Scherer, a psychologist from the University of Geneva, has specialized in this area.21 Once again, it is intuitively obvious to all of us that this is a routine and key aspect of human speech; orators throughout history, from Cicero to Churchill, have used the voice to induce emotions and stir people to action. Yet our scientific understanding of how vocal acoustics express emotion remains limited.
Scherer 的实验要求从单词中删除任何语义含义，以便通过以下方式表达情感 仅声学特性。像 Juslin 一样，他测试了听众是否能够正确识别预期的情绪。合一 实验中，语音被用来列出字母表或数字序列，而听众则试图识别什么 它正在努力表达的情感他的发现证实了许多其他研究人员的发现，即 至少 60% 是正常的，即使除了 愤怒、悲伤、快乐和恐惧等基本情绪。其中，悲伤和愤怒似乎是最容易识别的。
Scherer’s experiments required that any semantic meaning be removed from the words so that the emotions were expressed via acoustic properties alone. Like Juslin, he tested whether listener’s could correctly identify the intended emotion. In one experiment, the voice was employed to list the alphabet or a numerical sequence, while listeners attempted to recognize what emotion it was endeavouring to express His findings confirmed those of numerous other investigators that a success rate of at least 60 per cent is usual, even when the complex emotions of jealousy, love and pride were involved in addition to the basic emotions of anger, sadness, happiness and fear. Of these, sadness and anger appear to be the easiest to recognize.
Scherer 的其他一些实验试图确定特定声学特性之间的关系，例如 作为音高水平、速度、音调和节奏，以及所表达的特定情感——就像 Juslin 对他的吉他手所做的那样。 结果非常相似。因此，缓慢而低沉的声音表达被认为是传达悲伤， 而大的音高变化和快速的节奏被认为是快乐的。
Some of Scherer’s other experiments have attempted to identify the relationship between specific acoustic properties, such as pitch level, tempo, tonality and rhythm, and the specific emotion expressed – just as Juslin did with his guitar players. The results were very similar. Thus vocal expression that was slow and at a low pitch was recognized as conveying sadness, while large pitch variation and a fast tempo were identified with happiness.
Cooke 的分析以及 Juslin 和 Scherer 的实验将我们的直觉知识和共同经验放在了 情感是通过音乐在科学和客观的基础上表达的——无论音乐是仅由声音产生的，还是由 一种乐器，或由一个完整的管弦乐队。
The analysis by Cooke and the experiments of Juslin and Scherer place our intuitive knowledge and common experience of how emotion is expressed by music on a scientific and objective footing – whether the music is generated by the voice alone, by an instrument, or by a complete orchestra.
音乐可以诱导情绪状态
Music can induce emotional states
音乐会在表演者和仅仅倾听的人中诱导情绪状态。尽管这是一个广泛持有的假设， 很难正式测试。当然，人们可以简单地询问人们在听完一首音乐后有什么感受。 但是在做出这种主观的报告时，听众很容易将他们在音乐中识别的情感与那些情感混淆 他们感觉到自己。22
Music induces emotional states both in those who perform and in those who simply listen. Although this is a widely held assumption, it is difficult to test formally. One can, of course, simply ask people how they feel after listening to a piece of music. But when making such subjective reports, listeners are liable to confuse the emotions they recognize in the music with those that they feel themselves.22
避免这种情况的唯一方法是依靠情绪状态的生理相关性，这是可以客观测量的。 康奈尔大学的 Carol Krumhansl 向 38 名学生展示了 6 首独立古典音乐选段 评估为表达悲伤、恐惧、快乐和紧张的情绪。23 她给学生们打了电话，这样就可以在他们听 音乐，紧接着。发现发生了显着的生理变化，这些变化因 到那首音乐，从而到情感，主题已经接触到了它。
The only way of avoiding this is to rely upon physiological correlatives of emotional states, which can be objectively measured. Carol Krumhansl of Cornell University presented thirty-eight students with six excerpts of classical music that had been independently assessed as expressing emotions of sadness, fear, happiness and tension.23 She wired the students so that their respiratory and cardiovascular systems could be monitored while they listened to the music and immediately afterwards. Significant physiological changes were found to have occurred, and these differed according to the piece of music, and hence emotion, to which the subjects had been exposed.
预期会引起悲伤的音乐导致心率、血压、皮肤电导率和温度发生巨大变化; “恐惧”的音乐使脉搏率和振幅发生很大变化;“快乐”音乐使呼吸模式发生了巨大变化。 这些结果已被进一步的实验复制和发展，但它们的实用性因其 依赖于一首音乐随时间推移而展开，而不是识别特定的音乐结构 这会诱发特定的情绪。24
Music that was expected to induce sadness produced large changes in heart rate, blood pressure, skin conductance and temperature; ‘fearful’ music produced large changes in pulse rate and amplitude; ‘happy’ music produced large changes in respiratory patterns. Such results have been replicated and developed by further experiments, but their utility has been questioned because of their reliance on the unfolding of a piece of music over time rather than the identification of the specific musical structures that induce specific emotions.24
音乐诱导情绪状态的可能机制已被 Klaus Scherer 和他的 大学 日内瓦同事 Marcel Zentner。25 一首音乐可能在潜意识中以与视觉刺激相同的方式进行评估——例如一条蛇或一只蜘蛛—— 会自动得到评价并引发情绪反应。或者 - 或者更有可能的是 - 一首音乐 可能会提示对过去情感经历的回忆，或者促进对表演者的同理心。最后一种情况可能来自： 模仿与表演者相同的动作，从而达到相似的生理状态。
The possible mechanisms by which music induces emotional states have been considered by Klaus Scherer and his University of Geneva colleague Marcel Zentner.25 A piece of music might be subconsciously appraised in the same way as visual stimuli – a snake or a spider, for example – are automatically appraised and provoke an emotional response. Alternatively – or, more likely, in addition – a piece of music may cue memories of a past emotional experience, or else facilitate empathy for the performer. The last case might arise from mimicking the same movements as the performer, resulting in the achievement of a similar physiological state.
Scherer 和 Zentner 认为，有四个因素会影响一段 音乐：（1） 音乐本身的声学品质 – 它的旋律、节奏、速度、响度和其他特征;（2） 举止 它被演奏的地方——从 Juslin 的吉他演奏实验中可以明显看出;（3） 听众的状态，以 他们的音乐专业知识、一般性格和当前情绪;26 （4） 演奏和聆听音乐的环境 – 无论是正式的还是非正式的场合，是否发生 没有中断，以及可能影响聆听体验的声学和氛围的任何其他因素。
Scherer and Zentner argued that four factors influence the extent to which an emotional state will be induced by a piece of music: (1) the acoustic qualities of the music itself – its melody, rhythm, tempo, loudness and other features; (2) the manner in which it is performed – as was evident from Juslin’s guitar-playing experiments; (3) the state of the listener, in terms of their musical expertise, general disposition and current mood;26 (4) the context in which the music is performed and heard – whether it is a formal or informal occasion, whether it occurs without interruption, and any other factors that might influence the acoustics and ambience of the listening experience.
音乐作为药物和疗法
Music as medicine and therapy
在某些情况下，音乐家通过仔细操纵所有因素，故意创造尽可能高的情感影响 刚刚列出。这方面的一个关键例子是音乐疗法，27 用于支持有各种医疗保健需求的广泛成人和儿童。音乐疗法的成功进一步证明了音乐是如何被利用的 既可以表达和唤起广泛的情感，也可以带来身心的实质性改善 健康。也许没有比成就更好的反驳史蒂文·平克 （Steven Pinker） 的说法了，即音乐在生物学上毫无用处 的音乐疗法。
In some cases, musicians deliberately create the highest possible emotional impact by carefully manipulating all of the factors just listed. A key example of this is in music therapy, 27 which is used to support a wide range of adults and children who have a variety of healthcare needs. The success of music therapy further demonstrates how music can be used both to express and to arouse a wide range of emotions, and also to lead to substantial improvements in mental and physical health. There is perhaps no better rebuttal of Steven Pinker’s claim that music is biologically useless than the achievements of music therapy.
音乐疗法作为一套明确的实践，最早是在 20 世纪在西方发展起来的——尤其是在 第一次世界大战，当时医生和护士目睹了音乐对心理、生理和认知的影响 和伤员的情绪状态，1948 年发表了第一篇关于音乐药用特性的重要学术研究， 部分作为对第二次世界大战期间军事医院和工厂继续使用音乐疗法的回应 War.28 音乐疗法现在被广泛用于那些有精神和/或身体残疾或疾病的人。在第 10 章中，我将描述 音乐疗法如何使脑退化患者能够恢复身体活动的一些显着结果。 然而，我在这里担心的是音乐疗法对情感的影响。
Music therapy as an explicit set of practices first developed in the West during the twentieth century – especially during the First World War, when doctors and nurses witnessed the effect that music had on the psychological, physiological, cognitive and emotional states of the wounded, The first major academic study of music’s medicinal properties was published in 1948, partly as a response to the continued use of music therapy in military hospitals and in factories during the Second World War.28 Music therapy is now widely used for those with mental and/or physical disabilities or illnesses. In chapter 10 I will describe some striking results of how music therapy has enabled those suffering from brain degeneration to regain physical movement. My concern here, however, is with the emotional impact of music therapy.
它最重要的功能之一是让正在准备、正在接受手术或从手术中恢复的患者放松，特别是 牙科、烧伤和冠状动脉治疗。现在有充分的证明，音乐具有缓慢稳定的节奏、连奏段落、温和的 节奏、可预测的变化、简单持续的旋律和狭窄的音高范围有利于放松，并可能导致 焦虑显着减少。通过使用这种“镇静音乐”，医生已经能够减少麻醉剂的剂量 和其他止痛药物，而患者受益于更短的恢复期，并且表达的程度更高 的满意。29 引用一份关于德国 Spingte 诊所使用音乐的最新报告：
One of its most significant functions is to relax patients who are preparing for, undergoing or recovering from surgery, notably dental, burns and coronary treatments. It is now well attested that music with slow steady tempos, legato passages, gentle rhythms, predictable change, simple sustained melodies and narrow pitch ranges is conducive to relaxation and can lead to a significant decrease in anxiety. By the use of such ‘sedative music’ doctors have been able to reduce doses of anaesthetics and other pain-relief medication, while patients have benefited from shorter recovery periods and have expressed higher degrees of satisfaction.29 To quote one recent report on the use of music at the Spingte Clinic in Germany:
15 分钟舒缓的音乐使患者进入如此健康的状态，以至于只有推荐剂量的 50% 需要镇静剂和麻醉药物来执行否则非常痛苦的手术。事实上，现在有一些程序 在没有任何麻醉的情况下进行......然后，更振奋人心的音乐会提醒患者的系统，以便他们能够积极响应 到外科医生。一旦完成，音乐就会将患者带回放松的恢复状态。30
Fifteen minutes of soothing music lulls the patient into such a state of well-being that only 50 per cent of recommended doses of sedatives and anaesthetic drugs are needed to perform otherwise very painful operations. Indeed, some procedures are now undertaken without any anaesthetic … More invigorating music then alerts the patients’ systems so they can actively respond to the surgeon. Once this is complete the music then takes the patient back into a relaxed state of recovery.30
1990 年代，心理学家苏珊·曼德尔 （Susan Mandel） 在俄亥俄州莱克医院 （Lake Hospital） 担任音乐治疗师。31 虽然她的报告为音乐的治愈能力提供了进一步的证据，但它们也展示了一些困难 在评估这种疗法的有效性时。她特别关心的是利用音乐来减轻那些 曾心脏病发作，因为压力会增加第二次发作的可能性。Mandel 为 Lake 医院的门诊患者引入了音乐治疗课程， 其中 60% 的人被认为有压力风险。这些会议是为小组或个人准备的，使用 现场或录音音乐与口头讨论相结合，以鼓励表达感情并减少焦虑。曼德尔 认为该计划取得了相当大的成功。但是，与大多数音乐治疗计划一样，任何正式的测量 在没有对照样本的情况下，成功是困难的。曼德尔的情况也很复杂，因为她的音乐课程涉及 歌词，同样可以很容易地是歌词而不是他们的音乐表达来减轻压力和焦虑。 然而，从选择返回进行不止一次音乐治疗的患者数量来看，曼德尔似乎 有理由争论音乐具有某种程度的积极影响。32
During the 1990s, the psychologist Susan Mandel worked as a music therapist at the Lake Hospital in Ohio.31 While her reports provide further evidence for the healing power of music, they also demonstrate some of the difficulties in evaluating the effectiveness of such therapy. Her particular concern was the use of music to reduce stress in those who had suffered heart attacks, as stress increases the likelihood of a second attack. Mandel introduced music therapy sessions for outpatients at Lake Hospital, 60 per cent of whom were judged to be at risk from stress. The sessions were for small groups or individuals, and used either live or taped music in conjunction with verbal discussion to encourage the expression of feelings and to reduce anxiety. Mandel judged the scheme to have been a considerable success. But, as with the majority of music therapy schemes, any formal measurement of success is difficult in the absence of a control sample. Mandel’s case is also complicated because her music sessions involved lyrics, and it could just as easily have been the words rather than their musical expression that reduced stress and anxiety. However, judging from the high numbers of patients who chose to return for more than one music therapy session, Mandel appears to be justified in arguing that music was having some level of positive effect.32
在其他应用中，音乐疗法用于刺激而不是镇静参与者——以增强自尊 或促进个人关系。它越来越多地用于患有自闭症等精神障碍的人， 强迫症和注意力缺陷障碍。33 在这些情况下，它已被证明可以促进合作，促进身体意识和自我意识，促进自我表达， 以及加强或构建学习。但也许音乐疗法最有价值的方面是它可以是一个自助系统 – 一个人根本不需要治疗师，只需要一架钢琴弹奏，一个可以唱歌的浴缸，或者一组 CD 来操作 自己的心情。总的来说，曼德尔认为“音乐是促进健康和健全健康的强大力量”的说法似乎非常正确。34
In other applications, music therapy is used to stimulate rather than to sedate the participants – to enhance self-esteem or to facilitate personal relationships. It is increasingly used with those suffering from mental disorders such as autism, obsessive-compulsive disorder and attention-deficit disorder.33 In these cases it has been shown to foster cooperation, promote body awareness and self-awareness, facilitate self-expression, and reinforce or structure learning. But perhaps the most valuable aspect of music therapy is that it can be a self-help system – one does not need a therapist at all, just a piano to play, a bath to sing in, or a collection of CDs with which to manipulate one’s own mood. Overall, Mandel appears to be quite right to argue that ‘music is a potent force for wellness and sound health’.34
这对社会人类学家来说并不奇怪，因为音乐作为治愈力量的作用是几个 人类学研究;音乐治疗文献的一个不幸特点是它忽视了人类学 文学，反之亦然。35 埃文斯-普里查德 （Evans-Pritchard） 1937 年对阿赞德魔法的经典描述是最早描述巫医降神会的著作之一，在此期间 由神奇的树木和草药制成的占卜药通过击鼓、唱歌和跳舞来激活。36 在 1990 年代，发表了三项重要的人类学研究，内容是关于传统音乐的治愈 马来西亚热带雨林以及非洲中部和南部的社会。37 元
This would not be a surprise to a social anthropologist, as the role of music as a force of healing is the theme of several anthropological studies; one of the unfortunate features of music therapy literature is that it ignores the anthropological literature, and vice versa.35 Evans-Pritchard’s classic 1937 account of Azande magic was one of the first to describe witch doctors’ séances during which divinatory medicines made of magical trees and herbs were activated by drumming, singing and dancing.36 In the 1990s, three important anthropological studies were published concerning the use of music for healing by traditional societies in the Malaysian rainforest and in central and southern Africa.37
曼德尔的说法对历史学家来说也不是什么新闻，因为音乐疗法实际上自古以来就被使用。Peregrin Horden 2000 年编辑了一本引人入胜的论文集，描述了音乐和医学在古典、中世纪、 欧洲的文艺复兴和近代早期，以及犹太、穆斯林和印度传统。另一个重要的收藏 同年出版，由 Penelope Gouk 编辑，题为《文化背景下的音乐治愈》。我相信这是第一次将音乐治疗师、人类学家、历史学家和其他关注音乐治愈能力的人的工作汇集在一起的研究 一卷 – 我非常希望我当时能参加 1997 年的会议，这本书就是由此产生的。38 元
Neither would Mandel’s statement be news to historians, as music therapy has in fact been used since antiquity. Peregrin Horden in 2000 edited a fascinating collection of essays that describe the use of music and medicine in the classical, medieval, Renaissance and early modern periods of Europe, as well as in Jewish, Muslim and Indian traditions. Another important collection appeared in the same year, edited by Penelope Gouk and entitled Music Healing in Cultural Contexts. I believe that this was the first study to draw together the work of music therapists, anthropologists, historians and others concerned with the healing powers of music into a single volume – and I very much wish I had been at the 1997 conference from which the volume arose.38
快乐的后果
The consequences of being happy
到目前为止，我们已经确定：（1） 情感及其表达是人类生活和思想的中心;和 （2） 音乐不仅可以表达情绪状态，还可以在自己和他人中诱导情绪状态。这些发现具有重要的 对音乐能力如何进化的意义：他们表明，过去那些偶然具有 突变、增强的音乐能力可能已经获得了生殖优势。为了进一步论证这个论点，我们必须认识到 能够操纵他人情绪状态的优势。我们可以从研究后果开始 快乐。
We have so far established that: (1) emotions and their expression are at the very centre of human life and thought; and (2) music can not only express emotional states but induce them in oneself and in other individuals. Such findings have important implications for how the capacity for music evolved: they suggest that those individuals in the past who had, by chance genetic mutation, enhanced musical abilities may have gained a reproductive advantage. To further this argument, we must appreciate the advantage of being able to manipulate the emotional states of other individuals. We can begin by examining the consequences of being happy.
1970 年代，心理学家爱丽丝·艾森 （Alice Isen） 开始通过一系列简单而巧妙的实验来探索这个想法。3？在其中一次测试中，她给她的实验对象做了一个知觉运动技能测试，然后告诉一个随机样本，他们 已经过去了——引发了一种轻微的快乐状态——而其余的则认为他们失败了。然后，每个人都会收到 他们认为，这种情况与测试完全无关：看到一个陌生人掉了一堆书。那些 那些被告知自己失败的人更愿意帮助收拾这些书。
In the 1970s, the psychologist Alice Isen started to explore this idea through a series of simple yet ingenious experiments.3? In one of these she gave her experimental subjects a perceptual-motor skills test and then told a random sample that they had passed – inducing a mildly happy state – and the remainder that they had failed. Each person was then presented with a situation that, they thought, was quite unrelated to the test: the sight of a stranger who had dropped a pile of books. Those who had been made happy were more inclined to help gather up the books than those who had been told of their failure.
在接下来的二十年里，Isen 通过一系列涉及各种诱导幸福的方法的实验来跟进这一点。 在所有情况下，她都将她的研究对象的行为与处于中性或消极情绪中的其他人的行为进行了比较。许多 实验与非常简单的情况有关，例如在日常业务过程中可能出现的情况。例如，她发现， 那些被免费给予的人;饼干变得更有帮助，也更愿意在被要求时保持安静。 图书馆;那些看过喜剧电影或得到糖果的人在被要求解决问题时反应更灵敏;和 当孩子们获得贴纸奖励时，他们的学习进步会更快。
Isen followed this up over the next two decades with a suite of experiments that involved various methods of inducing happiness. In all cases, she compared the behaviour of her subjects with that of others in a neutral or a negative mood. Many of the experiments related to quite simple situations such as might arise in the course of one’s daily business. She found, for example, that individuals who were given free; biscuits became more helpful and more willing to keep quiet when asked to do so in a library; those who had watched comedy films or had been given sweets were more responsive when asked to solve problems; and when children were rewarded with stickers they advanced more rapidly in their studies.
她的一项实验表明，幸福感如何使人们更有创造性地思考。40 受试者要么被给予一部有趣的电影来观看，以引起快乐，要么被赋予一部情感中立的电影。然后他们被给予 一个需要解决的问题：如何只使用蜡烛、一盒大头钉和 火柴点燃蜡烛。实现这一目标的唯一方法是清空大头钉，将盒子固定在墙上，然后站立 盒子里的蜡烛。与情绪中立的受试者相比，能够在 10 分钟内解决问题的 “快乐 ”受试者的比例明显更高——在一个实验中，这一比例为 75% 另一个州为 58%，而不是 20%。
One of her experiments shows how happiness enables people to think more creatively.40 Subjects were given either a funny film to watch, to induce happiness, or an emotionally neutral film. They were then given a problem to solve: how to fix a candle to a cork board attached to a wall, using only the candle, a box of tacks, and the matches to light the candle. The only way to achieve this was to empty out the tacks, pin the box to the wall, and stand the candle in the box. A significantly higher proportion of the ‘happy’ subjects than of those whose mood was neutral was able to solve the problem within ten minutes – 75 per cent in one experiment and 58 per cent in another, as opposed to 20 per cent.
情绪也被证明会影响我们对他人的看法以及我们对他们的判断。进行了一项实验 由心理学家罗伯特·巴伦 （Robert Baron） 参与在即将进行 与求职者的面试。41 申请人是实验者的共犯，总是给采访者相同的答案，这涉及两者 对自己的负面和正面评论。结果发现，“快乐”的面试官对申请人的评价要积极得多 比沮丧的面试官更看不管她承担这份工作的潜在能力还是她的个人品质。他们是 也更倾向于回忆申请人对自己说过的积极的事情，而不是消极的事情。
Mood has also been shown to influence our perceptions of others and the judgements we make about them. One experiment undertaken by the psychologist Robert Baron involved inducing states of either happiness or sadness in subjects who were about to conduct an interview with a job applicant.41 The applicant was an accomplice of the experimenter and always gave the same answers to the interviewer, which involved both negative and positive comments about herself. It was found that ‘happy’ interviewers rated the applicant far more positively than the despondent interviewers, both on her potential ability to undertake the job and on her personal qualities. They were also more inclined to recall the positive things that the applicant had said about herself than the negative things.
自我评价也受一个人的情绪影响。约瑟夫·福加斯 （Joseph Forgas） 和斯蒂芬妮·莫伊兰 （Stephanie Moylan） 采访了近千人 就在他们离开电影院后，看了被归类为快乐、悲伤或激进的电影。42 问题涉及许多主题，包括政治人物、未来事件和他们自己的生活满意度。那些 看过 “快乐 ”电影的人做出的判断比看过 悲伤或激进的电影。这种情绪偏差是普遍的，无论受试者的人口背景如何。
Self-evaluation is also influenced by one’s mood. Joseph Forgas and Stephanie Moylan interviewed nearly a thousand people just after they had left the cinema, having watched films that had been classified as happy, sad or aggressive.42 Questions were asked about many topics, including political figures, future events and their own life-satisfaction. Those who had seen a ‘happy’ film made judgements that were more positive, lenient or optimistic than those who had watched the sad or aggressive films. Such mood biases were universal, irrespective of the demographic background of the subjects.
可以描述更多类似的实验。这一点很简单，但非常重要：一个人的情感 国家影响一个人的思维和行为方式。快乐的人往往更乐于助人和合作;他们评估 自己和他人更积极，更有创意地思考。人们立即被它有多好的想法所震撼 如果一个人总是被快乐的人包围——如果他们因为自己的原因不快乐，那该有多好 是为了给他们的生活带来一点快乐，也许是通过给他们唱一首快乐的歌。
Many more experiments such as these could be described. The point is quite simple but highly significant: one’s emotional state influences the way one thinks and behaves. People who are happy tend to be more helpful and cooperative; they evaluate themselves and others more positively, and think more creatively. One is immediately struck by the thought of how good it would be if one were always surrounded by happy people – and if they were not happy on their own account, how nice it would be to induce a little happiness into their lives, perhaps by singing them a happy song.
音乐可以促进帮助和学习
Music can facilitate helpfulness and learning
事实上，音乐可以通过诱导良好的情绪来增加合作和帮助，这已经被实验证明。 受到 Isen 作品的启发，Rona Fried 和 Leonard Berkowitz 与大学的学生一起进行了一项研究 威斯康星州。43 他们把他们分成四组，通过给他们演奏不同的乐曲，在其中三组里引起不同的情绪。 从门德尔松的《无言之歌》中选择两首选段，为一组人灌输舒缓的情绪;艾灵顿公爵 播放“One O'clock Jump”是为了在另一个中营造兴奋感;约翰·科尔特兰 （John Coltrane） 的《沉思录》（Meditations） 被用来灌输 第三组是负面情绪，包括悲伤和沮丧。第四个，对照组只是静坐了 7 分钟 的音乐录音。44 学生必须在听音乐之前和之后完成一份情绪问卷，这证实了 音乐对他们的感情产生了重大影响。
That music can increase cooperation and helpfulness by inducing good moods has, in fact, been demonstrated experimentally. Having been inspired by Isen’s work, Rona Fried and Leonard Berkowitz undertook a study with their students at the University of Wisconsin.43 They divided them into four groups and induced different moods in three of them by playing them different pieces of music. Two selections from Mendelssohn’s ‘Songs Without Words’ were chosen to instil a soothing mood in one group; Duke Ellington’s ‘One O’clock Jump’ was played to create feelings of excitement in another; and John Coltrane’s ‘Meditations’ was used to instil negative emotions, of sadness and despondency, in the third group. The fourth, control group simply sat in silence for the seven-minute duration of the musical recordings.44 The students had to complete a mood questionnaire both before and after listening to the music, and this confirmed that the music had made a significance difference to their feelings.
就在他们被解雇之前，实验者要求志愿者帮助进行另一个完全不相关的实验，该实验 需要 15 分钟到 2 小时的时间。他们被要求填写一份表格以指定 他们是否准备提供帮助，如果愿意，需要多长时间。当然，这是对有用性的测试——实验者 想了解这四个群体的帮助意愿是否根据他们所听的音乐类型而变化 一直在听。
Just before they were dismissed, the experimenter asked for volunteers to help with another, quite unrelated experiment which would require anywhere between fifteen minutes and two hours of their time. They were requested to complete a form to specify whether they were prepared to help, and if so for what amount of time. This, of course, was the test of helpfulness-the experimenter wanted to discover whether the four groups varied in their willingness to help according to the type of music to which they had been listening.
事实证明确实如此。那些听过门德尔松作品的人被证明是最有帮助的 通过他们愿意帮助第二次实验以及他们准备提供的时间长度。在这两个指标上， 那些听过 Coltrane 的音乐导致情绪不好的学生是最不愿意提供帮助的。
This proved to be the case. Those who had listened to the Mendelssohn pieces turned out to be the most helpful, as measured by their willingness to help with the second experiment and the length of time they were prepared to offer. On both measures, the students who had listened to Coltrane’s music, leading to adverse moods, were the least willing to be helpful.
音乐的认知影响，通过诱导特定的情绪情绪来实现，可能是对所谓 “莫扎特效应”。人们特别相信，听莫扎特可以使儿童、婴儿甚至未出生的人更聪明 在美国得到支持。听莫扎特确实被证明可以提高短期推理任务的表现，但是 关于智能普遍增强的主张是完全没有根据的。短期影响一点也不令人惊讶。 莫扎特的音乐经常被选择来诱导平静和快乐的情绪，而 Isen 等人的实验表明，这种情绪 可以提高创造性思维。有一种莫扎特效应，一种通过操纵情绪起作用的效应，很可能是 在我们的进化历史中，它一直纵性的音乐家所利用。
The cognitive impact of music, achieved by inducing particular emotional moods, is the likely explanation of the so-called ‘Mozart effect’. The belief that listening to Mozart can make children, babies and even the unborn smarter, has been particularly espoused in the USA. Listening to Mozart has indeed been shown to improve performance in short-term reasoning tasks, but the claims for general enhancements of intelligence are quite unfounded. The short-term impact should not be at all surprising. Mozart’s music is often selected to induce calm and happy moods, and Isen’s and others’ experiments have shown that such moods can improve creative thinking. There is a Mozart effect, one that works via the manipulation of mood, and it is likely that it has been exploited by manipulative musicians throughout our evolutionary history.
总结
Summary
我们都直观地认识到，音乐在某种程度上是“情感的语言”。本章试图阐明 这可能意味着什么作为音乐和语言进化历史的基础，这将在本文的其余部分进行 书。它首先解释了情绪对思想和行为至关重要——它们为 行动 – 而音乐与我们的情感生活如此密切相关的事实反驳了它可能是一些 最近的发明或从其他一些进化的能力（例如语言）衍生出来。我总结了一些论点 作者：德里克·库克 （Deryck Cooke） 在《音乐的语言》（The Language of Music） 中，试图识别音乐中音调张力所表达的特定情感以及这些情感是如何的 受音量、节奏、速度和音高的调节。这促使我们考虑了 Patrik 的一些最近的、以科学为基础的工作 Juslin 和 Klaus Scherer 研究音乐如何表达和诱导情绪状态，其中一些是可以检测到的 通过生理唤醒的测量。情绪状态对行为有直接影响，因此对一个人的行为也有直接影响 本身会受到他们听到的音乐的影响，正如 Fried 和 Berkowitz 的研究所说明的那样。
We all intuitively appreciate that music is, in some form, the ‘language of emotion’. This chapter has attempted to elucidate what that might mean as a basis for the evolutionary history of music and language that will follow in the remainder of this book. It began by explaining that emotions are fundamentally important to thought and behaviour – they provide a guide to action – and the fact that music is so intimately related to our emotional lives counters the argument that it might be some recent invention or a spin-off from some other evolved capacity, such as language. I summarized some of the arguments made by Deryck Cooke in The Language of Music, which attempted to identify the specific emotions expressed by tonal tensions within a piece of music and how such emotions are moderated by volume, rhythm, tempo and pitch. This led us to consider some more recent and scientifically based work by Patrik Juslin and Klaus Scherer investigating how music both expresses and induces emotional states, some of which can be detected by measures of physiological arousal. Emotional states have direct consequences for behaviour, and hence a person’s behaviour itself can be influenced by the music they hear, as was illustrated in the studies by Fried and Berkowitz.
总之，音乐可以用来表达我们的情绪，也可以操纵他人的情绪和行为。在现代西部 社会，可能在所有现代人中，音乐很少以这种方式使用，除了用于娱乐之外，因为 我们有一种更强大的方式来告诉别人我们的感受：语言。但曾经有一段时间 我们的祖先缺乏语言，尽管他们有复杂的情感范围，有时需要影响行为 其他个体。事实上，这就是我们今天活着的近亲，类人猿的情况。它 当我们开始研究音乐和语言是如何演变的时，我们现在必须转向这些。
In summary, music can be used to express our emotions, and to manipulate the emotions and behaviour of others. In modern Western society, and probably in those of all modern humans, music is rarely used in this manner other than for entertainment, because we have a far more powerful means of telling someone what we are feeling: language. But there would have been a time when our ancestors lacked language even though they had a complex range of emotions and the need at times to influence the behaviour of other individuals. This is, in fact, the situation for our close relatives who are alive today, the great apes. And it is to these that we must now turn as we begin to examine how music and language evolved.
8 咕噜声、吠叫和手势
8 Grunts, barks and gestures
猴子和猿类的交流
Communication by monkeys and apes
我的前几章提供了关于当今音乐和语言的相关“事实”——我将在 我研究的最后一章。本章开始了进化史，这将提供所需的解释，尽管 它也与当今世界同在。它主要涉及现存非人类灵长类动物的自然交流系统 非洲猿类，因为它们很可能与我们最早的人类祖先的通信系统相似。
My initial chapters have provided the pertinent ‘facts’ about music and language today – facts to which I will return in the final chapter of my study. This chapter begins the evolutionary history that will provide the required explanation, although it also remains with the present-day world. It concerns the natural communication systems of living non-human primates, principally the African apes since these are likely to be similar to the communication systems of our earliest human ancestors.
我所说的“自然”是指那些在野外使用的通信系统，而不是黑猩猩获得的那些 以及在人类指导和/或支持下的实验室环境中的其他灵长类动物。自 1950 年代以来，心理学家一直在探索 非人类灵长类动物可以通过符号学习交流的程度，最明显的是通过使用简化的计算机 键盘，试图发现语言的认知基础是否存在于这些物种中。风险 进行全面的概括，这样的工作发现，黑猩猩和倭黑猩猩确实可以学会使用符号进行交流。 但很少有人学会超过 250 个符号，1 而且他们似乎几乎没有组合符号来制作复杂短语的能力，如果有的话。阿拉伯数字
By ‘natural’, I mean those communication systems used in the wild, as opposed to those that have been acquired by chimpanzees and other primates in laboratory settings under human instruction and/or support. Since the 1950s, psychologists have explored the extent to which non-human primates can learn to communicate by symbols, most notably through the use of simplified computer keyboards, in an attempt to discover whether the cognitive foundations for language are present in these species. At the risk of making a sweeping generalization, such work has found that chimpanzees and bonobos can indeed learn to use symbols to communicate. But few have learnt more than 250 symbols, 1 and they appear to possess minimal ability, if any at all, to combine symbols to make complex phrases.2
目前尚不确定猿类使用符号是否与理解 语言;我对此深表怀疑，并相信这些实验只告诉我们灵长类动物相当“聪明”，即 能够学习和使用符号与其所指对象之间的关联的感觉。换句话说，它相当 通过提供正确的刺激，很容易在他们的大脑中产生有限数量的额外神经回路——在这种情况下， 与使用语言的人类互动。因此，我主要关注非人类的通信系统 野外的灵长类动物，因为正是在这些地方可以找到语言和音乐的根源。3
It is not certain whether the use of symbols by apes has any relevance to the understanding of the cognitive foundations of language; I have severe doubts and believe that these experiments tell us no more than that primates are quite ‘clever’, in the sense of being able to learn and to use associations between symbols and their referents. In other words, it is quite easy to generate a limited number of additional neural circuits in their brains by providing the right stimuli – in this case, interaction with language-using humans. Consequently, my concern is principally with the communication systems of non-human primates in the wild, because it is within these that the roots of language and music are to be found.3
图 6由分子遗传学建立的现存灵长类动物之间的进化关系。
Figure 6 Evolutionary relationships between living primates, as established by molecular genetics.
非洲猿类有三种：大猩猩、倭黑猩猩和黑猩猩。我们很可能有一个共同的祖先 所有这些猿类都在 8 到 700 万年前的某个时间出现。在那之后，将有两个独立的 谱系，其中之一导致了现代的大猩猩。另一条线在 6 到 500 万年之间看到了进一步的分歧 以前，一个分支导致人，另一个分支在 2 到 100 万年前分裂，一方面导致黑猩猩和倭黑猩猩 另一个。4
There are three species of African apes: the gorilla, the bonobo, and the chimpanzee. We most likely shared a common ancestor with all of these apes at some time between 8 and 7 million years ago. After that date there would have been two separate lineages, one of which led to the modern-day gorilla. The other line saw a further divergence at between 6 and 5 million years ago, with one branch leading to Homo and the other splitting at between 2 and 1 million years ago, leading to the chimpanzee on the one hand and the bonobo on the other.4
鉴于它们密切的进化相关性，非洲猿类在 它们叫声的声学结构，这些是咕噜声、吠叫声、尖叫声和叫声的变化。5 事实上，有些变化只反映了大小;倭黑猩猩的叫声比黑猩猩高，因为它们的 声带较小。6 因此，我们可以合理地假设，我们与这些猿类共享的祖先是在 8 到 500 万年前 也有类似的呼唤曲目，这些为现代人类的语言和音乐提供了进化的先驱。
In view of their close evolutionary relatedness, it is not surprising that the African apes share gross similarities in the acoustic structures of their calls, these being variations on grunts, barks, screams and hoots.5 Indeed, some of the variation reflects no more than size; bonobos have higher-pitched calls than chimpanzees because their vocal tracts are smaller.6 It is reasonable to assume, therefore, that the ancestors we shared with these apes at between 8 and 5 million years ago also had a similar repertoire of calls, and that these provided the evolutionary precursor to modern human language and music.
类人猿通信系统没有特别的区别;事实上，非洲猿没有特殊的发声技巧 所以它们似乎为我的语言和音乐进化史提供了一个最没有希望的开端。竟然 最像语言和音乐的叫声出现在与人类关系更远的灵长类动物中。长尾猴 ——我们在大约 3000 万年前与它们共享一个祖先——对特定的捕食者有特定的呼吁，这些捕食者有 被声称是接近文字的东西;Gelada 狒狒互相叽叽喳喳，听起来很像人类的对话， 而雄性和雌性长臂猿则唱二重唱。7
The great ape communication system is not particularly distinguished; indeed, the African apes have no special vocal skills at all, so they seem to provide a most unpromising start for my evolutionary history of language and music. Surprisingly, the most language-like and music-like calls are found in primates that are far more distantly related to humans. Vervet monkeys – with whom we shared an ancestor at around 30 million years ago – have specific calls for specific predators, which have been claimed to be something close to words; gelada baboons chatter to each other in what sounds uncannily like human conversation, while male and female gibbons sing duets.7
所以，在我们转向非洲猿之前，我们需要注意这些其他非人类灵长类动物，因为它们的交流 系统可以帮助我们理解最早的原始人和后来的 Homo 属成员的 Homo 属。与猿类的叫声不同，它们不太可能为人类的语言和音乐提供直接的进化前体。他们 然而，可能提供了一个强有力的类比，因为在早期原始人中独立进化的通信系统 这样做是为了解决与当今非人类灵长类动物面临的问题类似的问题。
So, before we turn to the African apes, we need to pay some attention to these other non-human primates, since their communication systems may help us to understand those of the earliest hominids and later members of the Homo genus. Unlike the ape calls, they are unlikely to provide direct evolutionary precursors to human language and music. They may, however, provide a strong analogy, because the communications systems that evolved independently among the early hominids did so in order to solve problems similar to those faced by non-human primates today.
Vervet 警报电话：他们是否失去了“话语”？
Vervet alarm calls: are they losing ‘words’?
1967 年，动物行为学家 Thomas Struhsaker 对 Amboseli 中长尾猴的叫声进行了一些有趣的观察 坦桑尼亚国家公园。8 只长尾猴的大小与家猫差不多大，成群结队地生活在大草原林地，花费大致相等 在地面和树上的时间。Struhsaker 发现，长尾鸢使用声学上独特的警报呼叫来表示不同的 捕食者的类型。一看到豹子，猴子就大声吠叫;一边跑到树上，一边鼓励对方 vervets 通过执行相同的操作来逃避潜在的危险。如果捕食者是鹰，警报呼叫将是一个短的双音节 咳嗽。听到这个消息后，猴子会抬头看，必要时会跑去寻找掩护。看到蛇会导致“咯”的声音。 然后，猴子会用后腿站起来，窥视草地以找到蛇，然后可能会按顺序围攻 把它赶走。这三种声学上不同的警报呼叫中的每一种都与不同的类型有关;的 Predator 和每个结果 以适合相关捕食者的特定类型行为。
In 1967 the ethologist Thomas Struhsaker made some intriguing observations regarding the calls of vervet monkeys in the Amboseli National Park in Tanzania.8 Vervet monkeys are about the size of a domestic cat and live in troops in savannah woodland, spending approximately equal amounts of time on the ground and in the trees. Struhsaker found that vervets use acoustically distinctive alarm calls for different types of predators. At the sight of a leopard, a monkey barks loudly; while running into the trees, encouraging the other vervets to escape the potential danger by doing the same. If the predator is an eagle, the alarm call will be a short double-syllable cough. On hearing this, the monkeys will look up and, if necessary, run for cover. The sight of a snake leads to a ‘chutter’. The monkeys will then stand on their hind legs and peer into the grass to find the snake, which might then be mobbed in order to shoo it away. Each of these three acoustically distinct alarm calls relates to a different type; of predator and each results in a particular type of behaviour that is appropriate for the predator concerned.
在 Struhsaker 的观察十年后，Dorothy Cheney、Robert Seyfarth 和 Peter Marler 开始了一系列创新的研究 以了解有关该主题的更多信息。他们解决的关键问题是这些猴子是否指的是 就像我们用词来指代世界上的物体和事件时所做的那样。另一种可能性是 猴子在面对不同类型的 掠 食 者。
A decade after Struhsaker’s observations, Dorothy Cheney, Robert Seyfarth and Peter Marler began an innovative set of studies to discover more about the subject. The key question they addressed was whether the monkeys were referring to predators in the same manner as we do when we use words to refer to objects and events in the world. The alternative possibility was that the monkeys were simply expressing different levels of fearful and aggressive emotions when faced with different types of predators.
切尼和她的同事从多个角度处理他们的任务：他们对警报电话进行了录音，然后进行了分析 它们的声学特性;他们使用回放实验来系统地研究猴子的反应行为 到不同位置的捕食者警报呼叫;他们探索了幼年猴子如何学习哪些叫声 make – 如果确实涉及任何学习;他们分析了猴子们对彼此发出的“咕噜声” 表面上听起来像人类对话。
Cheney and her colleagues approached their task from a number of angles: they tape-recorded the alarm calls and then analysed their acoustic properties; they used playback experiments to investigate systematically how the monkeys behaved in response to the predator alarm calls in different situ ations; they explored how infant and juvenile monkeys learned which calls to make – if, indeed, there is any learning involved; and they analysed the ‘grunts’ that the monkeys make to each other that superficially sound like human conversation.
他们的结果和结论发表在 Cheney 和 Seyfarth 1990 年的开创性著作《猴子如何看待世界》中。这是最早明确尝试确定非人类灵长类动物在想什么（如果有的话）的书之一 发声时，或者实际上，从事任何特定类型的行为时。Thomas Struhsaker 的原始观察 得到证实，但事实证明，无法确定这些警报电话是否真的在脑海中起到了文字的作用 就像“豹”或“鹰”这个词对我们的影响一样。
Their results and conclusions were published in Cheney and Seyfarth’s seminal 1990 volume, How Monkeys See the World. This was one of the first books to make an explicit attempt to establish what, if anything, a non-human primate is thinking when making vocalizations or, indeed, engaging in any particular type of behaviour. The original observations of Thomas Struhsaker were confirmed, but it proved impossible to establish whether the alarm calls really were functioning as words in the minds of the monkeys in the same way as the word ‘leopard’ or ‘eagle’ would do for us.
反对这种解释的证据是警报电话的使用有限。它们很少用于其他上下文 比捕食者实际存在时要多。9 它们从来没有像我们组合的方式那样与任何其他发音组合在一起来提供额外的信息 单词转换为句子。此外，独特呼叫的实际数量极其有限。10 Cheney 和 Seyfarth 可以很容易地想到许多其他对猴子适应性有用的叫声，例如当她继续前进时，母亲对婴儿的呼唤，冒着让婴儿暴露在外的风险。切尼和赛法斯 得出结论，没有证据表明 Vervet Monkeys 可以理解“指涉关系”——事实上，一个电话可以 实际上指的是外部世界的实体。
The evidence against this interpretation was the limited use of the alarm calls. They were very rarely used in contexts other than when the predators were actually present.9 And they were never combined with any other vocalization to provide additional information, in the manner in which we combine words into sentences. Moreover, the actual number of distinctive calls was extremely limited.10 Cheney and Seyfarth could easily think of many other calls that would be adaptively useful for the monkeys to use, such as one from a mother to her infant when she is moving on and risks leaving the infant exposed. Cheney and Seyfarth had to conclude that there is no evidence that vervet monkeys can understand ‘referential relations’ – the fact that a call can actually refer to an entity in the outside world.
除了 Cheney 和 Seyfarth 自己的分析和讨论之外，对 vervet 发声最有洞察力的解释 来自卡迪夫大学的语言学家 Alison Wray，我在最初的 章。11 她认为，应该将 vervet 警报呼叫与完整的消息进行比较，而不是与 人类语言。因此，从看到蛇时产生的“咯咯声”不应该被认为是猴子的词 'snake'，但类似于 '当心蛇';同样，Eagle Alarm 咳嗽应解释为“当心 of the eagle“类型的消息，而不是作为 eagle 的单词，甚至作为”Look up at the sky and run for cover“消息。 雷将警报呼叫描述为“整体的”，因为它们没有内部结构，也从未与任何其他警报结合使用 发声以形成多分量消息。她还建议，警报电话应被视为“操纵性” 而不是 'referential'。这是一个关键的区别：尽管这样的调用可能是“功能引用的”，但猴子不是 试图告诉他们的同伴世界上的某件事，他们只是试图操纵他们的行为。12
Other than Cheney and Seyfarth’s own analysis and discussion, the most perceptive interpretation of the vervet vocalizations has come from Alison Wray, the linguist at Cardiff University whose notion of holistic protolanguage I introduced in my initial chapter.11 She has argued that the vervet alarm calls should be compared with complete messages rather than with individual words in human language. So the ‘chutter’ that arises from the sight of a snake should not be thought of as being the monkey word for ‘snake’, but as something like ‘beware of the snake’; similarly, the eagle alarm cough should be interpreted as a ‘beware of the eagle’ type message, rather than as a word for eagle, or even as a ‘look up at the sky and run for cover’ message. Wray describes the alarm calls as ‘holistic’ because they have no internal structure and were never combined with any other vocalization to form a multi-component message. She also suggests that the alarm calls should be considered as ‘manipulative’ rather than ‘referential’. This is a key distinction: although such calls may be ‘functionally referential’, monkeys are not trying to tell their companions about something in the world, they are simply attempting to manipulate their behaviour.12
戴安娜猴和坎贝尔猴具有与长尾猴相似的警报呼叫系统，而戴安娜猴似乎也 “理解”珍珠鸡的警报声和不同种类的黑猩猩尖叫声。13 对恒河猴的实验研究表明，它们的叫声与食物供应之间存在关系。速率 他们称之为似乎与他们感到饥饿有关，而他们叫声的声学结构与食物有关 type 和 quantity。14 恒河猴在是否打电话方面也表现出一定程度的自制力。那些找到食物但 请勿打电话容易受到其他人的攻击，这似乎是一种“惩罚”形式。
Diana monkeys and Campbell monkeys have similar alarm call systems to those of vervets, while Diana monkeys also appear to ‘understand’ the alarm calls of guinea fowl and the different kinds of chimpanzee screams.13 Experimental studies with rhesus monkeys have shown relationships between their calls and food availability. The rate at which they call appears to be related to how hungry they feel, while the acoustic structure of their call relates to food type and quantity.14 Rhesus monkeys have also shown some degree of self-control over whether or not to call. Those individuals who find food but do not call are prone to aggression from other individuals, seemingly as a form of ‘punishment’.
喋喋不休的 geladas
Chattering geladas
虽然对 vervet 的研究告诉我们猴子如何使用功能参考呼叫来警告潜在的捕食者， 对 Gelada 猴子的研究对于了解声学可变的叫声非常重要，其中许多叫声听起来很清楚 音乐，调解社交互动。Geladas 比 vervet 大。他们的自然栖息地是埃塞俄比亚山脉，那里 它们成群结队地生活，以根、叶和果实为食。geladas 发声的范围和频率 比 Vervet 的情况更广泛，尽管没有捕食者警报呼叫或特定呼叫与特定实体之间的其他关联记录。gelada 发声用于社交互动： “当他们彼此接近时，从彼此身边走过或离开彼此，当他们开始或停止社交修饰时， 当他们因为某人与伴侣太亲密而威胁他时，寻求某人的支持或保证，事实上，就像他们 他们所做的是构成他们社会生活每时每刻的实质的无数种不同的社会行动 这些动作总是伴随着发声。15
While the studies of vervets have taught us how monkeys use functionally referential calls to warn about potential predators, studies of gelada monkeys have been important in understanding how acoustically variable calls, many of which sound distinctly musical, mediate social interactions. Geladas are larger than vervets. Their natural habitat is the Ethiopian mountains, where they live in large groups feeding on roots, leaves and fruit. The range and frequency of the vocalizations made by geladas are more extensive than in the case of vervets, although there are no records of predator alarm calls or other associations between particular calls arid particular entities. The gelada vocalizations are used in social interaction: ‘As they approach one another, walk past one another or take leave of one another, as they start or stop social grooming, as they threaten someone because he is too close to a partner, solicit someone’s support or reassurance, in fact, as they do the infinite variety of different social actions that make up the minute-to-minute substance of their social lives they always accompany these actions with vocalizing.’15
布鲁斯·里奇曼 （Bruce Richman） 提供了这一描述，他花了八年时间记录和分析俘虏的发声， 而是自由放养的 Gelada 猴子。他们发出的声音多种多样：鼻化的咕噜声、高音调和低音调的叫声、擦音、 滑行、“紧绷”和“低沉”的声音。尽管事实证明任何“含义”都无法梳理出来，但这些发音显然是 在承认和维护个人与整个群体之间的社会纽带方面发挥着关键作用。Geladas 跟随 其他个体的发声细节。他们经常将自己的发声与他人的发声同步，交替发声 与他们在一起，甚至完成不寻常的声音模式。
That description was provided by Bruce Richman, who spent eight years recording and analyzing the vocalizations of captive, but free-ranging, gelada monkeys. The sounds they made were diverse: nasalized grunts, high-and low-pitched calls, fricatives, glides, ‘tight’ and ‘muffled’ voices. Although any ‘meaning’ has proved impossible to tease out, these vocalizations evidently play a key role in acknowledging and maintaining social bonds between individuals and the group as a whole. Geladas follow the vocalizations of other individuals in detail. They often synchronize their own vocalizations with those of others, alternate with them, or even complete unusual patterns of sounds.
Richman 最感兴趣的声学特征是 geladas 使用的多种节奏和旋律：“Fast 节奏、慢速节奏、断奏节奏、滑音节奏;第一拍重音节奏，尾音节奏;旋律 具有均匀分布的音程，覆盖两个或三个八度音程;精确重复的旋律，以前制作过的 音乐音程的上升或下降;等等：geladas 发声出丰富的节奏和旋律形式。16 里奇曼问道，他在 gelada 发声中发现如此丰富的节奏和旋律有什么作用。后 详细描述了它们的用途并探索了它们产生的背景，他得出结论，它们发挥了作用 与人类说话和歌唱中的节奏和旋律的功能大致相同。从本质上讲，geladas 使用的变化 in rhythm 和 melody 来指定话语的开始和结束;解析话语，以便允许其他人跟随; 使其他人能够理解这句话是针对他们的;并使其他人能够做出自己的贡献 在最合适的时刻。事实上，里奇曼对 geladas 如何使用节奏和旋律的解释似乎非常相似 到它在婴儿定向语音 （IDS） 的早期和非语言阶段的使用，如第 6 章所述。
The acoustic feature that most interested Richman was the great variety of rhythms and melodies that the geladas use: ‘Fast rhythms, slow rhythms, staccato rhythms, glissando rhythms; first-beat accented rhythms, end-accented rhythms; melodies that have evenly spaced musical intervals covering a range of two or three octaves; melodies that repeat exactly, previously produced, rising or falling musical intervals; and on and on: geladas vocalize a profusion of rhythmic and melodic forms.’16 Richman asked what function was served by the rhythm and melody that he found so abundant in the gelada vocalizations. After making a detailed description of their use and exploring the contexts in which they arose, he concluded that they performed much the same function as the rhythm and melody that is found in human speech and singing. In essence, the geladas used changes in rhythm and melody to designate the start and end of an utterance; to parse an utterance, so allowing others to follow along; to enable others to appreciate that the utterance was being addressed to them; and to enable others to make their own contribution at the most appropriate moment. In fact, Richman’s interpretation of how geladas use rhythm and melody appears strongly analogous to its use in the early and non-linguistic stages of infantdirected speech (IDS), as described in chapter 6.
里奇曼确定的 gelada 节奏和旋律的另一个功能是解决频繁的情感冲突 源于 Monkey Life 复杂多变的社会情况。他描述了一个例子，当时一名成年男性 在与一些单身男性进行了一轮威胁后，他慢慢地走回了他的团队。当他接近雌性时，他产生了 Richman 所说的“长系列”——一个快速、长的声音序列，具有稳定的节奏和旋律，这 显然是友好态度和积极情绪的标志。但 gelada 还添加了 Richman 所说的“紧 特征' – 由口腔后部的舌头收缩引起的高频夸大。这通常是 用于表达愤怒和攻击性意图。Richman 解释说，通过用“紧密特征”来表达“长系列”， 雄性 Gelada 找到了一种方法来接近雌性，而不会让它们感到恐惧，同时也向它们表达了他的愤怒 州。因此，他既解决了自己的情感冲突，又向女性提供了尽可能多的信息 他现在的状态。
A further function of gelada rhythm and melody identified by Richman is the resolution of the frequent emotional conflicts arising from the complex and ever-changing social situations of monkey life. He describes one instance when an adult male was walking slowly back to his group after engaging in a bout of threats with some bachelor males. As he approached the females, he produced what Richman described as a ‘long series’ – a fast, long sequence of sounds with a steady rhythm and melody, which was clearly a sign of a friendly approach and positive emotion. But the gelada also added what Richman described as ‘tight features’ – an exaggeration of the higher frequencies, caused by a tongue constriction at the back of the mouth. This is typically used to express anger and an aggressive intent. Richman explained that by expressing the ‘long series’ with ‘tight features’, the male gelada found a means to approach the females without making them fearful while also expressing to them his angry state. Thus he both resolved his own emotional conflict and provided as much information as possible to the females about his current state.
与 Homo 的连续性？
Continuity with Homo?
猴子的喋喋不休通常听起来很像人类的对话，尽管很明显文字不是 被利用。这可能是由于猴子和人类用来表达不同音调变化的相似性 不同类型社会背景下的情绪类型。赫尔辛基大学的心理学家 Lea Leinonen 和她的同事 测试了成人和儿童是否能够使用猕猴 （Macaca arctoides） 的叫声识别猴子叫声的情感内容。17 莱诺宁记录了大量猕猴的发声，并利用它们的社会背景将它们归类为 表达满足、恳求、支配、愤怒或恐惧。然后这些被播放给人类受试者，他们有 解释每个电话的情感内容的成功程度。她发现，儿童的 能够翻译电话，直到 9 岁或 10 岁时，他们达到了成年人所达到的水平。Leinonen 认为 这样的结果表明，猴子和人在情感交流中共享相同的声音线索。
The chattering of monkeys often sounds very much like human conversation, even though it is quite evident that words are not being used. This may derive from similarities in the variations of pitch used by monkeys and by humans to express different types of emotion in different types of social context. Lea Leinonen, a psychologist from Helsinki University, and her colleagues tested whether adults and children were able to recognize the emotional content of monkey calls, using those of the macaque (Macaca arctoides).17 Leinonen recorded a large number of macaque vocalizations and drew on their social contexts in order to categorize them as expressions of contentment, pleading, dominance, anger or fear. These were then played to the human subjects, who had a high degree of success in interpreting the emotional content of each call. She found that children gradually improved in their ability to interpret the calls until, at the age of nine or ten, they reached the level achieved by adults. Leinonen argues that such results indicate that monkeys and Homo share the same vocal cues in emotional communication.
这一想法在一项研究中得到了进一步检验，该研究对每类猕猴的波形进行了明确比较 发声以及芬兰语和英语使用者在类似社交场合中使用的单词的发声。18 对于测试词，Leinonen 选择了名字“Sarah”（芬兰语）和“Sarah”（英语），因为这些名字在情感上是中性的 并且具有可以用各种方式表达的长元音。然后，人类受试者必须在课程中使用测试词 这个故事的设计考虑了猴子发声的社会背景。
This idea was further examined in a study that made an explicit comparison between the waveforms of each category of macaque vocalization and those of words used by speakers of Finnish and of English in similar social situations.18 For the test words Leinonen chose the forenames ‘Sarah’ (Finnish) and ‘Sarah’ (English), as these are emotionally neutral and have long vowels that can be expressed in various ways. The human subjects then had to use the test word in the course of a story that had been designed with the social contexts of the monkey vocalizations in mind.
猴子和人类话语的波形相似性惊人：使用了相同类型的音高变化 来表达每种情绪状态。Leinonen 和她的同事认为，这反映了强大的“灵长类遗传” 在人类充满情感的言语中。他们认为，这源于猴子和人类母亲都需要向新生儿传达不同的情绪 具有可以明确区分的话语，尽管有很强的文化背景，但它们的特征仍然存在到人类成年 对成人行为的影响。
The similarities in the waveforms of the monkey and human utterances were striking: the same types of pitch change were used to express each of the emotional states. Leinonen and her colleagues argue that this reflects a strong ‘primate inheritance’ in human emotionally laden speech. This derives, they suggest, from the need of both monkey and human mothers to communicate different emotions to their newborn infants with utterances that can be clearly distinguished, and their characteristics survive into human adulthood despite strong cultural influences on adult behaviour.
东南亚森林中的二重奏
Duets in the forests of south-east Asia
如果说 geladas 和 macaques 的发声听起来像人耳中的对话，那么长臂猿的发声肯定听起来像 就像音乐一样。长臂猿有 12 种，它们都生活在东南亚的热带雨林中，并且共享 与人类的共同祖先，大约在 1800 万年前。长臂猿形成小型家庭群体，通常由 交配的一夫一妻制配对，最多四个后代，他们与父母在一起直到八九岁;老。19 所有物种的雄性和雌性在垫子之前和之后都单独“唱歌”，除了两个物种之外，所有物种的交配对也 “唱”二重唱。长臂猿的歌曲是物种特异性的，似乎在很大程度上是生物遗传的产物，而不是 学习。20
If the vocalizations of geladas and macaques sound like conversation to the human ear, then those of gibbons certainly sound like music. There are twelve species of gibbon, all of which live in the rainforests of south-east Asia, and which shared a common ancestor with humans at around 18 million years ago. Gibbons form small family groups, typically consisting of a mated, monogamous pair with up to four offspring, who remain with their parents until they are eight or nine years; old.19 Males and females of all species ‘sing’ alone both before and after matting, and the mated pairs of all but two species also ‘sing’ duets. Gibbon songs are species-specific and appear to be largely a product of biological inheritance rather than of learning.20
这首女歌被称为“伟大的召唤”。它可以持续 6 到 80 分钟，通常为 一系列有节奏的长音符，随着速度的增加和/或峰值频率的增加而发出。声明函数 他们的歌声是为了吸引伴侣，经过测试，发现缺乏;相反，他们最有可能唱歌来捍卫他们的 领土。21
The female song is referred to as the ‘great call’. It can last for anything between six and eighty minutes, and is typically a rhythmic series of long notes uttered with an increasing tempo and/or increasing peak frequency. Claims that the function of their songs is to attract mates have been tested and found wanting; rather, they are most likely to sing to defend their territory.21
雄性产生几种不同类型的短语中的一种，随着歌曲的进行，这些短语通常会变得越来越复杂。22 当独自唱歌时，它们的叫声很可能是向未交配的雌性宣传自己的广告，就像这种情况一样 雄鸟。23 尽管女性和男性的呼唤/歌声听起来好像包含一系列不同的成分，但这些成分似乎并不 具有任何单独的含义，这些含义被组合在一起形成一个整体。与 vervet 和 gelada 的发音一样， 长臂猿的那些在性质上是整体的——它们相当于完整的信息，而不是单独的字符串 的话。
Males produce one of several distinct types of phrases, which often become increasingly complex as the song bout proceeds.22 When singing alone, their calls most likely function as advertisements of themselves to unmated females, much as in the case of male birds.23 Although the female and male calls/songs sound as if they contain a series of distinct components, these do not appear to have any separate meanings that are being composed together to form a whole. As with the vervet and gelada vocalizations, those of the gibbons are holistic in character – they are equivalent to complete messages rather than strings of individual words.
汉诺威动物学研究所的 Thomas Geissmann 是研究长臂猿之歌的领先专家之一，他提供了 简要描述了男性和女性如何将他们的歌曲组合成二重唱：“男性通常在开始时停止发声 ，并在恢复其常用短短语之前为该 Great Call 提供一个特殊的回复短语 （CODA）。 此外，一方或双方经常在大号召的高潮处展示杂技表演，这可能伴随着 通过竖毛和摇树枝。女性 great call 和男性 coda 的组合称为 call 序列，并且 在一首歌中可能会重复很多次。24
Thomas Geissmann of the Institute of Zoology, Hanover, is one of the leading experts in the study of gibbon song and provides a concise description of how males and females combine their songs to form duets: ‘Males usually stop vocalizing at the beginning of each great call and provide a special reply phrase (coda) to the great call before resuming their common short phrases. In addition, one or both partners often exhibit an acrobatic display at the climax of the great call, which may be accompanied by piloerection and branch shaking. The combination of the female great call and male coda is termed a call sequence, and it may be repeated many times during a single song bout.’24
为什么男性和女性应该一起唱歌？最吸引人的理论是它加强了配对键，这个想法 Geissmann 在暹罗长臂猿上进行了测试，该物种可以执行一些最复杂的声音互动。25 他记录了各个动物园的 10 个暹罗群，衡量它们与三个被广泛接受的 配对键强度的测量：相互梳理、伴侣之间的空间距离和行为同步。他发现 强相关性：最频繁一起唱歌的配对也表现出高水平的梳理，保持接近空间 彼此接近，并在相似的时间做出相似的行为。然而，尚不清楚的是因果关系： 暹罗长臂猿之所以形成牢固的配对纽带是因为配对在一起唱歌，还是因为它们一起唱歌 强大的配对键？
Why should males and females sing together? The most attractive theory is that it strengthens the pair-bond, an idea that Geissmann tested on siamang gibbons, a species that performs some of the most complex vocal interactions.25 He kept records on ten siamang groups in various zoos, measuring the extent of their duetting against three widely accepted measures of pair-bond strength: mutual grooming, spatial distance between mates, and behavioural synchronization. He found a strong correlation: the pairs that sung together most frequently also exhibited high levels of grooming, kept close spatial proximity to each other, and undertook similar behaviours at similar times. What remains unclear, however, is cause and effect: do siamang gibbons develop strong pair-bonds because the mated pair sing together, or do they sing together because they have a strong pair-bond?
盖斯曼小心翼翼地没有将这一发现推广到其他长臂猿物种，这些物种的二重奏不那么引人注目，这表明 它在加强配对键方面的作用可能是暹罗猿特有的。即使在该物种中，二重唱也可能有额外的 功能。暹罗缦歌声的响亮可能是对纽带的广告和领土的手段 防御。26 后者被证明是加里曼丹东部 Kutai 野生动物保护区的穆勒长臂猿种群的情况， 印度尼西亚。密歇根大学的约翰·米塔尼 （John Mitani） 播放了不同地点相邻团体的歌唱录音 在一个群体的领土内，发现调用的二重奏的强度差异很大。当这群人 感到需要保卫自己的领土。27
Geissmann was careful not to generalize this finding to the other gibbon species whose duetting is less striking, suggesting that its role in strengthening the pair-bond may be specific to the siamang. Even in that species, duetting may have additional functions. The loudness of the siamang song might function as an advertisement of the pair-bond and a means of territorial defence.26 The latter was shown to be the case for a population of Mueller’s gibbons in the Kutai game reserve of eastern Kalimantan, Indonesia. John Mitani of the University of Michigan played recordings of singing by neighbouring groups at different locations within a group’s territory and found that the intensity of the duet invoked varied markedly. It was greatest when the group felt a need to defend its territory.27
无论长臂猿二重奏是加强配对纽带、向他人宣传配对还是领土防御，都是 由已进入长期一夫一妻制关系的个人承担，因此依赖于 为了自己的生存和繁殖成功而彼此。Duetting 存在于其他一些类型的灵长类动物中，这些 也有一夫一妻制的生活方式。
Whether gibbon duetting is about strengthening the pair-bond, advertising the pair to others, or territorial defence, it is undertaken by individuals who have entered a long-term, monogamous relationship and hence are dependent upon cooperation with one another for their own survival and reproductive success. Duetting is found in a few other types of primates and these, too, have monogamous lifestyles.
大猩猩、黑猩猩和倭黑猩猩的发声
Gorilla, chimpanzee and bonobo vocalizations
在长臂猿的捕食者警报声、geladas 的节奏和旋律的使用以及长臂猿的二重唱之后，发声 我们最亲近的亲戚似乎确实相当有限——特别是因为他们缺乏任何独特的音乐品质，并且 很少与事件或对象有明确的关联。所有这些调用都是相互分级的，而不是离散的 类别可与人类语言相媲美。28 然而，正是在这种非洲猿的曲目中，而不是在猴子或长臂猿的曲目中，人类语言和音乐的根源 必须找到。猴子叫声显然更复杂，这一定是一种幻觉，它只是反映了我们有限的 了解 APE 呼叫。
After the predator alarm calls of the vervets, the use of rhythm and melody by geladas, and the duets of gibbons, the vocalizations of our closest living relatives do seem rather limited – particularly as they lack any distinctive musical qualities and have very few clear associations with events or objects. All such calls grade into each other, rather than falling into discrete categories comparable to human words.28 And yet it is in this African ape repertoire, and not those of monkeys or gibbons, that the roots of human language and music must be found. The apparently greater complexity of monkey calls must be an illusion, one that simply reflects our limited understanding of ape calls.
虽然三种非洲猿的叫声库有很强的相似之处，但也有重要的差异 存在。通过了解这些差异与每个物种的特定生活方式的关系，我们应该能够预测 我们的原始人祖先的呼唤曲目如何随着他们的生活方式与森林生活的不同而演变 猿类，我们将在下一章中看到。29
While there are strong similarities in the call repertoires of the three types of African apes, important differences also exist. By understanding how these differences relate to the particular lifestyle of each species, we should be able to predict how the call repertoire of our hominid ancestors is likely to have evolved as their lifestyles diverged from that of the forest-living apes, as we will see in the following chapter.29
就相似性而言，非洲猿实际上都有相同的叫声范围，这反映了它们密切的进化 相关性。黑猩猩所谓的“pant-hoot”与大猩猩的“hoot-series”和黑猩猩的鼓声相同 和大猩猩的胸跳一样。30 成年雄性总是最有声音的，它们的叫声也用于相同的情况。其中突出 是下属的尖叫声，他们是占主导地位的个体的攻击对象，是青少年的笑声 播放时。
As regards similarities, the African apes effectively all have the same range of calls, reflecting their close evolutionary relatedness. The chimpanzees’ so-called ‘pant-hoot’ is the same as the gorillas’ ‘hoot-series’, and the chimpanzees’ drumming is the same as the gorillas’ chest-beat.30 The adult males are always the most vocal and their calls are used in the same range of situations. Prominent among these are screams by subordinate individuals who are the object of aggression from dominant individuals, and laughter’ by juveniles when playing.
黑猩猩最常见的叫声是喘气声。这些长度在 2 到 23 秒之间。他们 通常涉及由未调制元素组成的简短介绍，然后变得越来越短和响亮。 这些元素达到高潮——一个或多个长长的调频元件，类似于尖叫声。然后 pant-hoot 结束 以类似于它的构建方式。
The most frequent call made by chimpanzees is the pant-hoot. These vary between two and twenty-three seconds in length. They often involve a brief introduction consisting of unmodulated elements, which then become increasingly shorter and louder. These build to a climax – one or several long, frequency-modulated elements which resemble a scream. The pant-hoot then concludes in a similar fashion to its build-up.
喘气在几种情况下进行：当一个人重新加入一个群体时;当陌生人在场时;到达 食物来源;在激动性展示期间;以及当猎物被捕获时。但是，它们可以分为两个调用： 长途电话，用于调节个体之间的间距;和更短距离的喘气咕噜声，似乎 是关于在人际关系中保持主导地位。长途电话显示出个体之间更大程度的差异， 大概是作为一种自我认同的手段，这在短距离的喘息声中是不必要的，因为呼叫者会 在收件人的视线范围内。31
Pant-hoots are made in several situations: when an individual rejoins a group; when strangers are present; when arriving at sources of food; during agonistic displays; and when prey has been captured. They can, however, be divided into two calls: the long-distance calls, which are made to regulate spacing between individuals; and shorter-range pant-grunts, which seem to be about maintaining dominance in relationships. The long-distance calls show greater degrees of variation between individuals, presumably as a means of self-identification which is unnecessary in the short-range pant-grunts because the caller would be within eyesight of the recipients.31
研究未能确定在喂食和非喂食情况下使用的喘息声之间的差异。因此，它似乎 黑猩猩不太可能使用此类呼叫向其他个人传输有关可用数量或类型的信息 食品。虽然每个个体在自己叫唤时都有独特的喘气声，但当雄性一起“合唱”时，它们 似乎匹配彼此的调用。
Studies have failed to identify differences between the pant-hoots used in feeding and non-feeding situations. Hence it appears unlikely that chimpanzees use such calls to transmit to other individuals information about the quantities or types of available foodstuffs. Although each individual has a distinctive pant-hoot when calling by itself, when males ‘chorus’ together they appear to match one another’s calls.
在不同的黑猩猩群体之间也发现了叫声库的差异。两个中最密集的雄性 研究的黑猩猩种群，来自贡贝和马哈莱的黑猩猩，具有独特的听觉叫声，这很可能是 声乐学习的产物。这可能反映了黑猩猩需要将远处的“朋友”或“敌人”识别为邻居 黑猩猩群体通常彼此具有攻击性。32 马克斯·普朗克进化人类学研究所（Max Planck Institute for Evolutionary Anthropology）的凯瑟琳·克罗克福德（Catherine Crockford）和她的同事最近的一项研究发现 西非泰森林的四个黑猩猩群落都有特定于群落的 pant-hes。33 他们解释说，黑猩猩有一种积极改变它们的喘气的倾向，使它们与众不同 与邻近社区的社区相比。
Differences in call repertoires have also been found between different chimpanzee groups. The males from the two most intensively studied populations of chimpanzees, those from Gombe and Mahale, have acoustically distinctive calls, which are most likely the product of vocal learning. This may reflect the need for chimpanzees to identify ‘friend’ or ‘foe’ at a distance, as neighbouring chimpanzee groups are often aggressive towards each other.32 A recent study by Catherine Crockford and her colleagues from the Max Planck Institute for Evolutionary Anthropology has found that each of four communities of chimpanzees in the Tai Forest of West Africa have community-specific pant-hoots.33 They explained this by attributing to chimpanzees a propensity actively to modify their pant-hoots so that they are different from those of neighbouring communities.
大猩猩最常发出的叫声是“双咕噜声”，是在嘴巴闭着的情况下发出的。34 这些是在各种情况下制作的：喂食、休息、玩耍或从一个地方移动到另一个地方时。双 咕噜声既可以在他人的视线范围内发出，也可以在部分或全部被植被遮挡时发出。详细研究 他们的声学表明，双咕噜声是个体独特的，它们分为两类。“自发” 双咕噜声是相对高音调的，是在沉默一段时间后发出的;“答案”的音调较低，并且是给出的 在第一次呼叫后的 5 秒内被另一只动物调用。
The most frequent call made by gorillas is a ‘double grunt’, produced with the mouth kept shut.34 These are made in a variety of situations: when feeding, resting, playing, or moving from one location to another. Double grunts are made both when in full view of others and when partially or wholly obscured by vegetation. Detailed studies of their acoustics have shown that double grunts are individually distinctive, and that they fall into two classes. The ‘spontaneous’ double grunt is relatively high-pitched and is made after a period of silence; the ‘answer’ is lower in pitch and is given by another animal within five seconds of the first call.
与黑猩猩一样，这些叫声的功能似乎主要是社会性的。一些调解个体之间的竞争： 如果大猩猩正在进食并被更高级别的人接近，则咕噜声的交换通常会导致下属 离开食物源的动物。在其他情况下，似乎采用了双重咕噜声来控制间距 个体之间进食时。在这些情况下，这些调用显然是操纵性的，而不是指涉性的——它们 只是被用来指导另一个人的行为。事实上，这种解释很可能适用于所有非洲人 猿人发声。
As with chimpanzees, the function of these calls appears to be primarily social. Some mediate competition between individuals: if a gorilla is feeding and is approached by a higher-ranked individual, an exchange of grunts often leads to the subordinate animal leaving the food source. In other circumstances, double grunts appear to be employed in order to control the spacing between individuals while feeding. In these situations the calls are evidently manipulative rather than referential – they are simply being used to direct another individual’s behaviour. Indeed, this interpretation most probably applies to all African ape vocalizations.
大猩猩比黑猩猩更健谈——一个典型的个体每小时会叫大约 8 次，而不仅仅是两次。 这很可能是大猩猩生活在大小和组成上比松散 有组织的黑猩猩社区。大猩猩在每次长时间的喂食后都会一起休息，通过身体接触进行社交， 尤其是梳理。
Gorillas are more vocal than chimpanzees – a typical individual will call about eight times every hour rather than just twice. This is most probably a consequence of gorillas living in groups that are more stable in size and composition than the loosely organized communities of chimpanzees. Gorillas rest together after every long feeding bout, socializing by physical contact, especially grooming.
为什么呼叫曲目如此有限？
Why are the call repertoires so limited?
如果非洲猿与使用语言的人类密切相关，并且拥有比猴子大得多的大脑，那么 35 为什么它们的发声行为看起来比 vervet 和 gelada 简单得多呢？这可能是一个错觉， 只不过是我们对喘气声、咕噜声和尖叫声实际含义的有限理解的反映，再加上 我们未能检测到猿类自己可能感知到的细微声学变化。36 但是，如果非洲猿类的叫声确实有限，那么我们必须问为什么 事实就是如此。
If the African apes are closely related to language-using humans and have far bigger brains than monkeys, 35 why should their vocal behaviour appear so much simpler than that of the vervets and geladas? This might be an illusion, no more than a reflection of our limited understanding of what pant-hoots, grunts and screams actually mean, combined with our failure to detect the subtle acoustic variability that may be perceived by the apes themselves.36 But if, as seems likely, it is indeed the case that African apes really do have limited call repertoires, we must ask why this is the case.
有几种可能性，所有这些可能性都可能是促成因素。一个是神经不灵活——猿类根本无法在野外学习新的叫声，因此它们保持的曲目非常有限。 然而，有一些证据表明非人类灵长类动物在野外进行了发声学习，例如独特的、特定于群落的灵长类动物 上面提到的 Taï 森林中黑猩猩的喘息声。然而，如果声音学习确实存在，它相对来说就无关紧要了 与人类语言和鸟鸣中发现的相比。37 元
There are several possibilities, all of which may be contributing factors. One is neural inflexibility – apes are simply unable to learn new calls in the wild and so they maintain a very limited repertoire. There is, however, some evidence for vocal learning by non-human primates in the wild, such as the distinctive, community-specific pant-hoots of the chimpanzees in the Taï forest mentioned above. If vocal learning does exist, however, it is relatively insignificant compared with that found in human speech and birdsong.37
声音多样性如此有限的第二个原因，尤其是与现代人类相比，是对声音的限制 可由 Ape 声带的解剖结构产生。38 喉部是阻止食物和水进入肺部的瓣膜，周围有两个肉瓣形成 声带。人类可以产生如此丰富的音调混合，因为空气产生的声波在 声带可以在喉咙内回荡。这些声波有机会干扰其他声波，然后 通过嘴巴进一步塑造。通过改变舌头和嘴唇的位置，室内腔室的大小和形状 嘴巴可以改变，从而产生各种各样的声音。然而，类人猿的喉咙要小得多 玩耍，因为他们的喉部位置相对较高。此外，它们的口腔相对不灵活， 因为它们的牙齿很大，舌头相对较长而浅。有了这种形态，生产 的元音几乎是不可能的。39 元
A second reason for such limited vocal diversity, especially when compared with modern humans, is a constraint on what sounds can be produced imposed by the anatomy of the ape vocal tract.38 The larynx is the valve that prevents food and water from entering the lungs, with two surrounding flaps of flesh that form the vocal cords. Humans can make such a rich mix of tones because the sound waves that arise from air passing between the vocal cords can reverberate within the throat. These sound waves have the opportunity to interfere with other waves and then become further shaped by the mouth. By changing the position of the tongue and lips, the size and shape of the chamber within the mouth can be altered, which enables a wide variety of sounds to be generated. The great apes, however, have far less throat to play with, owing to the relatively high position of their larynx. In addition, they have relatively inflexible mouth chambers, because of the substantial size of their teeth and relatively long, shallow tongues. With this morphology, the production of vowel sounds is practically impossible.39
即便如此，人们可以合理地预期非洲猿的叫声库会比它们更大。有人可能会争辩说，那里 根本不需要更多和多样化的发声——非洲猿类非常适应它们的 环境中，没有选择压力来发展他们的呼叫曲目。但这样的论点没有说服力。考虑 例如，黑猩猩狩猎。40 这似乎涉及不同个体之间的大量协调，他们在追逐猴子时扮演特定的角色 在树梢上。然而，它是在有限的口头交流（如果有的话）下进行的，而且肯定没有事先的迹象 规划。成功的频率通常相当低，人们可以很容易地想象，通过加强沟通可以增强它 在搜寻参与者之间。同样，青少年学习坚果敲碎等任务的速度也会 如果他们的母亲能“告诉”他们如何用锤子敲击坚果，那肯定会得到加强。41
Even so, one might reasonably expect African apes to have a larger call repertoire than they do. One might argue that there is simply no need for a greater number and diversity of vocalizations – the African apes are extremely well adapted to their environments, with no selective pressure to develop their call repertoires. But such arguments are not persuasive. Consider chimpanzee hunting, for instance.40 This appears to involve substantial coordination between different individuals, who adopt specific roles as they pursue monkeys in the treetops. It is, however, undertaken with limited, if any, vocal communication, and certainly with no signs of prior planning. The frequency of success is often rather low, and one can readily imagine that it could be enhanced by greater communication between the participants in the hunt. Similarly, the rate at which juveniles learn tasks such as the cracking of nuts would surely be enhanced if their mothers could ‘tell’ them how to strike the nuts with hammer-stones.41
声音交流的使用有限，尤其是明显缺乏直接涉及物体或动作的呼叫， 鉴于猿类在实验室研究中学习使用符号的能力，这一点尤其令人惊讶。没有 似乎是对符号使用的任何先验认知约束，但这是在 野生的，或没有人类影响的圈养。
The limited use of vocal communication, especially the apparent absence of calls with direct reference to objects or actions, is particularly surprising in the light of the ability of apes to learn to use symbols in laboratory studies. There does not appear to be any a priori cognitive constraint on the use of symbols, and yet this is something that does not occur in the wild, or in captivity without human influence.
一些人认为，非洲类人猿的主要制约因素是它们无法认识到另一个人对 世界与他们自己的世界不同。42 虽然母猿“知道”如何用锤石敲开坚果，但她无法体会到她的婴儿缺乏这种知识。 因此，她既没有动力通过手势或呼叫来“解释”它是如何完成的，也没有动力操纵她的孩子去做。如果 一个人假设另一个人拥有与自己相同的知识和意图，没有必要传达这一点 知识或操纵他们的行为。
Some argue that the key constraint on African apes is their inability to recognize that another individual’s knowledge of the world is different from their own.42 While a mother ape ‘knows’ how to crack nuts open with hammer-stones, she cannot appreciate that her infant lacks that knowledge. So she has no incentive either to ‘explain’, by gestures or calls, how it is done or to manipulate her infant to do it. If one assumes that another individual has the same knowledge and intentions as one’s own, there is no need to communicate that knowledge or to manipulate their behaviour.
意识到另一个人的知识、信仰和愿望与自己的不同，需要“读心术” 能力，有时被称为“心智理论”，它是现代人类社会生活的核心。可能是 所有非人类灵长类动物都缺乏这种读心术的能力。在 Cheney 和 Seyfarth 的《猴子如何看世界》出版后，学术界普遍认为猴子缺乏心智理论，但仍然存在相当多的 关于黑猩猩的分歧。43 有些人认为，偶尔观察到欺骗行为表明，黑猩猩可以体会到 他们自己的想法和另一个人的想法，因为欺骗涉及为他人提供错误的信念。
An appreciation that another individual’s knowledge, belief and desires are different from one’s own requires a ‘mind-reading’ ability, sometimes referred to as ‘theory of mind’, which is central to the social lives of modern humans. It may be that all non-human primates lack such mind-reading abilities. Following the publication of Cheney and Seyfarth’s How Monkeys See the World, there has been widespread agreement among academics that monkeys lack a theory of mind, but there is still considerable disagreement as regards chimpanzees.43 Some believe that occasional observations of deceptive behaviour suggest that chimpanzees can appreciate the difference between their own thoughts and those of another individual, since deceiving involves providing another with false beliefs.
心理学家理查德·伯恩 （Richard Byrne） 和安迪·怀特恩 （Andy Whiten） 在 1990 年代初期支持这种观点，汇集了许多孤立的人 对明显欺骗行为的观察产生了一个强有力的证据，即黑猩猩有心智理论。因为许多 他们的观察结果是“轶事”报告，关于他们结论的有效性仍然存在疑问，还有一些（主要是 基于实验室的）心理学家拒绝接受它。然而，最近的实验室实验表明，黑猩猩 确实可以理解心理状态，证明了 Byrne 和 Whiten 根据对“自然”的观察所做的推断是正确的 行为。44
The psychologists Richard Byrne and Andy Whiten championed this view in the early 1990s, bringing together a great many isolated observations of apparently deceptive behaviour to produce a strong case that chimpanzees have a theory of mind. Because many of their observations were ‘anecdotal’ reports, questions remained regarding the validity of their conclusion, and some (predominantly laboratory-based) psychologists refused to accept it. However, recent laboratory experiments have demonstrated that chimpanzees can indeed understand psychological states, vindicating the inferences that Byrne and Whiten made from observations of ‘natural’ behaviour.44
这当然并不意味着黑猩猩的心智理论与人类的心智理论相同。“心智理论”一词必须 包含一系列认知技能。例如，能够欣赏另一个人具有特定的 欲望 – 例如对食物的渴望 – 这可能与欣赏一个人有特定的信仰不同。另一个 区别涉及所谓的“意向性秩序”。如果我知道我的想法，那么我就被称为拥有 单一的意向顺序;如果我知道别人的想法，那么我就有两级意向性;如果我知道 别人怎么想，第三方怎么想，那么我有三个意向性顺序——依此类推。而人类 在社交生活中经常使用三到四个意向性顺序，猿类可能最多只能使用两个顺序。45 因此，虽然猿类可能有一种心智理论，但它的性质可能与人类所拥有的完全不同。因此，他们 可能对其他人的想法理解相对有限，这可能是解释的一个关键因素 他们的呼叫曲目非常有限。
This certainly does not mean that the chimpanzee theory of mind is the same as that of humans. The term ‘theory of mind’ must encompass a range of cognitive skills. There is, for instance, the ability to appreciate that another individual has a particular desire – for food, for example – and this may be different from appreciating that an individual has a particular belief. Another distinction concerns what have become known as ‘orders of intentionality’. If I know what I think, then I am termed as having a single order of intentionality; if I know what someone else thinks, then I have two orders of intentionality; if I know what someone else thinks that a third party thinks, then I have three orders of intentionality – and so forth. Whereas humans routinely use three or four orders of intentionality in their social lives, apes might be limited to two orders at the most.45 Hence, although apes may have a theory of mind, it may be of a quite different nature from that possessed by humans. In consequence, they may have a relatively limited understanding of what other individuals are thinking, and this may be a key factor in explaining their very limited call repertoire.
总之，我对非洲类人猿的叫声库的概述描述了大猩猩、黑猩猩和倭黑猩猩是如何共享的 相同的狭窄调用范围，这反映了它们密切的进化关系。存在的差异是可以解释的 通过他们的生理和生活方式，尤其是他们的社会组织模式。黑猩猩的喘息声和 大猩猩的双重咕噜声似乎是个体独特的，并有助于调解社会关系。他们相当 与人类语言的文字不同，并且可以被描述为具有整体性和操纵性。
In summary, my overview of the call repertoires of African apes has described how gorillas, chimpanzees and bonobos share the same narrow range of calls, which reflects their close evolutionary relationships. The differences that exist can be explained by their physiology and lifestyles, especially their patterns of social organization. The pant-hoots of chimpanzees and the double grunts of gorillas appear to be individually distinctive and serve to mediate social relationships. They are quite unlike the words of human language, and can be characterized as being holistic and manipulative in character.
猿类的手势交流
Gestural communication in apes
大猩猩、倭黑猩猩和黑猩猩通过手势和发声进行交流。不幸的是，对 这一点，尤其是那些与野生种群打交道的，是有限的，而且猿的手势往往很微妙;除非他们是 当观察者专注于其他形式的活动时，它们本身可能会被忽视。因此 我们拥有的关键证据来自圈养的类人猿，尽管它们生活在大型自然围栏中，尚未收到 任何类似人类的交流指令。尽管这些证据很少，但它表明即使在类人猿之间也能进行交流 是多模态的，涉及发声和手势的同步使用。
Gorillas, bonobos and chimpanzees communicate by gesture as well as by vocalizing. Unfortunately, the number of studies of this, especially those dealing with wild populations, is limited, and ape gestures are often subtle; unless they are being studied in their own right they may go unnoticed when an observer is concentrating on some other form of activity. Consequently, the key evidence we have comes from captive apes, albeit ones that live in large, naturalistic enclosures and have not received any instruction in human-like communication. Although this evidence is sparse, it indicates that even among apes communication is multi-modal, involving a synchronized use of vocalizations and gestures.
圣安德鲁斯大学的乔安妮·坦纳 （Joanne Tanner） 和理查德·伯恩 （Richard Byrne） 研究了旧金山动物园大猩猩使用的手势，重点是 由 13 岁的雄性 Kubie 制作到 7 岁的雌性 Zura 制作的。46 在大猩猩群体中，整个大猩猩群体中记录了 30 多种不同类型的手势，但他们的研究集中在 在 Kubie 的曲目中占据主导地位的九个手势上。其中一些是触觉的：Kubie 会触摸 Zura 的身体并移动他的身体 手朝他希望她移动的方向伸去，但又不强迫她这样做。其他手势纯粹是视觉上的： 当他引起她的注意时，Kubie 会在空间中移动他的手或手臂，以指示他希望 Zura 的方向 移动。
Joanne Tanner and Richard Byrne of the University of St Andrews studied gestures used by gorillas in San Francisco Zoo, focusing on those made by Kubie, a thirteen-year-old male, to Zura, a seven-year-old female.46 More than thirty different types of gestures were recorded within the gorilla group as a whole, but their study concentrated on nine gestures that dominated Kubie’s repertoire. Some of these were tactile: Kubie would touch Zura’s body and move his hand in the direction in which he wished her to move, but without forcing her to do so. Other gestures were purely visual: when he had her attention, Kubie would move his hand or arm in space to indicate the direction in which he wished Zura to move.
Kubie 最常用的手势是“点头”。当 Kubie 的手不可用时，会使用此方法，因为 他用指关节走路或拿着什么东西，或者当 Zura 离得太远而无法触摸时。点头捕捉到了 Zura 的 注意，并且经常将她的注意力吸引到 Kubie 的身体上，以便他可以做出进一步的手势。触觉手势 在鼓励 Zura 将她的身体朝着 Kubie 想要的方向移动方面取得了很高的成功率。其中包括他将手移到祖拉的身体上，拍打她的头、背部或臀部， 轻轻地将她的头向下推，轻轻地敲击。当两只大猩猩相距不远时，Kubie 会简单地 给 Zura 一个身体轻拍。这通常表明 Kubie 想玩，因为它伴随着他的玩脸并且 有时紧接着是他的“手臂摆动”手势，这引起了 Zura 对他的生殖器区域的注意。
The most frequent gesture used by Kubie was a ‘head nod’. This was used when Kubie’s hands were either not available, because he was knuckle-walking or holding something, or when Zura was too far away to touch. The head nod served to capture Zura’s attention, and would often draw her attention to Kubie’s body so that he could make further gestures. The tactile gestures achieved a high success rate in encouraging Zura to move her body in the direction that Kubie desired. They included his moving his hand down Zura’s body, patting her head, back or bottom, pushing her head gently downwards and light tapping. When the two gorillas were a short distance apart, Kubie would simply give Zura a body tap. This frequently indicated that Kubie wanted to play, as it was accompanied by his play face and was sometimes followed by his ‘armswing under’ gesture, which drew Zura’s attention to his genital area.
从整体上考虑，我们必须注意大猩猩手势的三个关键特征。首先，他们是“标志性的” 在自然界中：手势的路径与所需的身体运动路径相匹配。这与使用的符号手势形成鲜明对比 在现代人类手语中，手势的形状或运动与其 含义 – 尽管应该注意的是，大多数人类手势，以及手语中的许多手势也都有一个 标志性元素。其次，大猩猩的手势本身就是完整的行为：它们没有被组合成涉及 多个手势的含义超出组成部分的含义。他们是整体的，就像猴子一样 和上述猿发声是整体话语。大猩猩手势的第三个关键特征也与 猴子和猿猴的发声：它们是操纵性的，而不是指涉性的。47 Kubie 和其他大猩猩使用手势来操纵另一个人的动作和动作，而不是通知 他们关于世界。
When considered as a whole, there are three key features of the gorillas’ gestures that we must note. First, they are ‘iconic’ in nature: the path of the gesture matches the desired path of body movement. This contrasts with the symbolic gestures used in modern human sign language, where there is an arbitrary relationship between the shape or movement of the gesture and its meaning – although it should be noted that the majority of human gestures, and many of those in sign language also have an iconic element. Secondly, the gorilla gestures are complete acts in themselves: they are not composed into sequences involving multiple gestures that have a meaning beyond those of the constituent parts. They are holistic, in the same way as the monkey and ape vocalizations described above are holistic utterances. The third key feature of gorilla gestures is also shared with monkey and ape vocalizations: they are manipulative rather than referential.47 Kubie and the other gorillas use gestures to manipulate the movement and actions of another individual, rather than to inform them about the world.
Tanner 和 Byrne 在旧金山动物园观察到的任何高度视觉化的大猩猩手势都没有被报道 其他动物园或野外的大猩猩。这不太可能用没有记录它们来解释，因为理查德·伯恩本人 对卢旺达的大猩猩进行了广泛的观察。Tanner 和 Byrne 怀疑 Kubie 采用了更广泛的手势 范围比大猩猩通常的情况要大，因为他必须与两只成熟的雄性银背大猩猩共享动物园。因此需要 Kubie 雌性的合作，以便与它们互动并防止银背犬的干扰。通过使用手势， Kubie 可以默默地与雌流，从而避免引起年长雄性的注意。
None of the highly visual gorilla gestures that Tanner and Byrne observed in the San Francisco Zoo have been reported for gorillas in other zoos or in the wild. This is unlikely to be explained by a failure to record them, as Richard Byrne himself has made extensive observations of gorillas in Rwanda. Tanner and Byrne suspect that Kubie adopted a more extensive gestural range than is usual for gorillas because he had to share the zoo compound with two mature silverback males. Hence Kubie needed cooperation from the females in order to interact with them and prevent the silverbacks from interfering. By using gestures, Kubie could communicate with the females in silence and thereby avoid the attention of the older males.
Kubie 能够自发地发展手势交流的事实表明，这样做的心理能力是 今天存在于大猩猩中，并且很可能存在于大猩猩和生活在大猩猩和现代人类的共同祖先中 在 8 到 700 万年前。在 Tanner 和 Byrne 的工作之前，这已经为共同的祖先确定了 黑猩猩和人类通过观察现代倭黑猩猩和黑猩猩的手势。
The fact that Kubie was able spontaneously to develop gestural communication indicates that the mental capacity to do so is present in the gorilla today, and was most likely present in the common ancestor of gorillas and modern humans which lived between 8 and 7 million years ago. Prior to Tanner and Byrne’s work this had already been established for the common ancestor of chimpanzees and humans from observations of the gestures of modern-day bonobos and chimpanzees.
坦纳和伯恩引用了沃尔夫冈·科勒 （Wolfgang Kohler） 在 1925 年提供的描述：“......一只渴望陪伴的黑猩猩 通过另一个，轻推后者，或拉动他的手，看着他，朝着想要的方向做出“走”的动作。 一个人想从另一个人那里得到香蕉，模仿抢夺或抓握的动作，并伴随着强烈的恳求 眼神和噘嘴。从相当远的距离召唤另一只动物，通常伴随着非常人性的招手 在性格上。48 Sue Savage-Rumbaugh 和她的同事在 1970 年代进行的一项研究中记录了倭黑猩猩的标志性手势。 结果与 Tanner 和 Byrne 对大猩猩的结果基本相同：倭黑猩猩手势描绘了所需的动作 从手势的接收者处。49
Tanner and Byrne cited the description provided by Wolfgang Kohler in 1925: ‘… one chimpanzee which desires to be accompanied by another, gives the latter a nudge, or pulls his hand, looking at him and making the movements of “walking” in the direction desired. One who wishes to receive bananas from another, imitates the movement of snatching or grasping, accompanied by intensely pleading glances and pouts. The summoning of another animal from a considerable distance is often accompanied by a beckoning very human in character.’48 Iconic gestures were documented for bonobos in a study undertaken during the 1970s by Sue Savage-Rumbaugh and her colleagues. The results were essentially the same as those of Tanner and Byrne for gorillas: bonobo gestures depict the action desired from the recipient of the gesture.49
总结
Summary
猴子和猿类的通信系统仍然知之甚少。曾经有人认为他们的发声是 完全是非自愿的，只发生在高度情绪化的环境中。他们的电话被认为代表了个人的 情绪状态或他们即将发生的行为。50 我在本章中描述的研究促成了一个完全不同的观点，即承认猴子 干旱类人猿的发声通常是故意的，在社交生活中起着关键作用。
The communication systems of monkeys and apes remain little understood. It was once believed that their vocalizations were entirely involuntary and occurred only in highly emotional contexts. Their calls were believed to represent the individual’s emotional state or their imminent behaviour.50 The studies I have described in this chapter have contributed to a quite different view, one that recognizes that monkey arid ape vocalizations are often deliberate and play a key role in social life.
我对 vervet 选定方面的评论;Gelada、Gibbon、Chimpanzee、Bonobo 和 Gorilla Communications 已经确认了相当多的 种间变异性，反映了这些灵长类动物进化的对比生理学和适应性策略。 但也有一些共同的特点。首先，没有一个发声或手势等同于人类的单词。他们缺乏 一致且任意的含义，并且不会通过提供额外级别的 意义。Alison Wray 用于长尾警报呼叫的术语通常适用于非人类灵长类动物的发声 干旱的姿态：它们是整体的。
My review of selected aspects of vervet; gelada, gibbon, chimpanzee, bonobo and gorilla communications has acknowledged considerable interspecies variability, reflecting the contrasting physiology and adaptive strategies that these primates have evolved. But there are some common features. First, none of the vocalizations or gestures are equivalent to human words. They lack consistent and arbitrary meanings, and are not composed into utterances by a grammar that provides an additional level of meaning. The term that Alison Wray uses for the vervet alarm calls is generally applicable to non-human primate vocalizations arid gestures: they are holistic.
其次，“操纵性”一词也普遍适用。发声和手势似乎没有说明问题 另一个人关于世界的方式与我们在与另一个人交谈时提到物体、事件和想法的方式相同。 猴子和猿类可能只是没有意识到其他人缺乏他们自己所缺乏的知识和意图 拥有。他们的呼唤和手势不是指涉性的，而是具有操纵性的：他们试图产生某种形式的 另一个人的期望行为，无论是 Kubie “希望” Zura 参与游戏，还是长尾猴 “希望” 其他猴子逃离捕食者。51
Secondly, the term ‘manipulative’ is also generally applicable. The vocalizations and gestures do not appear to be telling another individual about the world in the same way as we refer to objects, events and ideas when talking to another individual. Monkeys and apes probably simply do not appreciate that other individuals lack the knowledge and intentions that they themselves possess. Rather than being referential, their calls and gestures are manipulative: they are trying to generate some form of desired behaviour in another individual, whether that is Kubie ‘wishing’ Zura to engage in play, or a vervet monkey ‘wishing’ the other monkeys to escape from a predator.51
第三个特征可能仅适用于非洲类人猿：它们的通信系统是多模态的，从某种意义上说 他们使用手势和发声。在这方面，它们与人类语言相似。猴子是否也使用手势 取决于术语的定义方式。如果一只长尾看到另一只长尾鸟直立并四处张望，那么它可能会做同样的事情，因为该姿势传达了这一点 已经看到了一条蛇。但这是对“手势”一词的相当宽泛的使用。猴子不太可能有运动控制 或获取手势的神经灵活性;从未观察到动物园的猴子种群使用特殊的手势 相当于动物园里的大猩猩和黑猩猩种群中的那些。52 因此，猿类可能是唯一采用多模式交流的非人类灵长类动物。
A third feature may be applicable to the African apes alone: their communication systems are multi-modal, in the sense that they use gesture as well as vocalization. In this regard, they are similar to human language. Whether monkeys also use gesture depends upon how the term is defined. If a vervet sees another standing upright and looking around, then it may do the same because that stance communicates that a snake has been seen. But this is a rather generous use of the term ‘gesture’. Monkeys are unlikely to have the motor control or neural flexibility to acquire gestures; zoo populations of monkeys have never been observed using idiosyncratic gestures equivalent to those seen among zoo populations of gorillas and chimpanzees.52 Hence, apes may be the only non-human primates that employ multi-modal communication.
最后，gelada 和 gibbon 通信系统的一个关键特征是它们本质上是音乐性的，从某种意义上说 它们大量使用节奏和旋律，并涉及同步和轮流。同样，取决于一个人如何 希望定义“音乐”，这个术语可以应用于整个非人类灵长类动物的交流系统。
Finally a key feature of the gelada and gibbon communication systems is that they are musical in nature, in the sense that they make substantial use of rhythm and melody, and involve synchronization and turn-taking. Again, depending upon how one would wish to define ‘musical’, this term could be applied to non-human primate communication systems as a whole.
猿类通信系统的整体性、操纵性、多模态和音乐特性提供了要素 对于生活在 600 万年前非洲的最早人类祖先来说，人类的语言和音乐最终来自这里 进化。我们现在可以通过检查化石和考古记录来开始追溯进化历史。
The holistic, manipulative, multi-modal, and musical characteristics of ape communication systems provide the ingredients for that of the earliest human ancestors, living in Africa 6 million years ago, from which human language and music ultimately evolved. We can now begin to trace that evolutionary history by examining the fossil and archaeological records.
9 大草原上的歌曲
9 Songs on the savannah
“嗯”通信的由来
The origin of ‘Hmmmm’ communication
Prelude in C Major by J. S. Bach: australopithecines walking up their
treetop nests
“原始人”是指与现代人类一起归类为原始人科的灵长类动物;除了智人，所有这些物种都已灭绝。最早存在的是人类和黑猩猩的共同祖先，它们生活在 600 万年前和 500 万年前，但仅从人类和黑猩猩 DNA 之间的差异程度上“知道”;那里 不是化石标本。一些古人类学家认为，这样的化石可能是在 2002 年发现的，当时 在非洲的萨赫勒地区发现了一个保存完好的类人猿头骨。后来的反思表明，原始人的地位 这个标本值得怀疑，留下了最早的无可争议的原始人化石，其历史可以追溯到 450 万年前 并属于一个被指定为 Ardipithecus ramidus 的物种。1
‘Hominids’ refers to primates that are classified with modern humans in the family Hominidae; other than Homo sapiens, all such species are extinct. The first to exist was the common ancestor to humans and chimpanzees, which lived between 6 and 5 million years ago but which is ‘known’ only from the extent of the difference between human and chimpanzee DNA; there are no fossil specimens. Some palaeoanthropologists thought that one such fossil might have been discovered in 2002, when a well-preserved ape-like skull was found in the Sahel region of Africa. Later reflection suggested that the hominid status of this specimen was questionable, leaving the earliest incontrovertible hominid fossils dating from 4.5 million years ago and belonging to a species designated as Ardipithecus ramidus.1
南方古猿和早期人
The australopithecines and early Homo
Ardipithecus ramidus 的化石碎片于 1992 年和 1994 年在埃塞俄比亚的 Middle Awash 地区被发现。2 对这些发现的完整描述和解释尚未公布。然而，从初步报告来看 大约有黑猩猩那么大，它的牙齿看起来更像现存的非洲猿类，而不是其他类人猿 原始人，虽然它可能比现代黑猩猩或大猩猩花更多的时间站立甚至用两条腿走路。这 是因为它的大孔，颅骨中的开口穿过;脊髓穿过，位于颅骨下方， 就像其他原始人一样，而不是像现存的非洲猿那样在它的后方。这表明姿势是直立的，通常是 与两足行走有关。
The fossilized fragments of Ardipithecus ramidus were discovered in 1992 and 1994 in the Middle Awash, region of Ethiopia.2 A full description and interpretation of the finds has not yet been published. However, from preliminary reports it appears to have been about the size of a chimpanzee, and its teeth look to have been more similar to living African apes than to other hominids, while it may have spent more time standing or even walking on two legs than do modern chimpanzees or gorillas. This is because its foramen magnum, the opening in the skull through; which the spinal cord passes, is located underneath the skull, as in other hominids, rather than to its rear, as in living African apes. This suggests an upright posture, which is normally associated with bipedalism.
可追溯到 4.5 到 180 万年前的地质沉积物提供了据信是 不过，其他七种原始人，对具体数量的估计因研究人员而异。大多数化石 被归类为南方古猿属。他们是一个非常混合的群体，有些人的身材相对较小，被称为“gracile”，似乎是多面手 觅食者，而其他动物则有巨大的下巴和牙齿，这反映了它们对以粗糙植物材料为食的特殊适应能力。标本除外 来自乍得的所有化石都来自南部或东部非洲。这很可能只反映了分布 适当日期的地质暴露量;南方古猿似乎生活在 非洲大陆。
Geological sediments that date to between 4.5 and 1.8 million years ago have provided fossils from what are believed to be seven other species of hominid, although, estimates for the specific number varies between researchers. The majority of fossils are classified in the genus Australopithecus. They are a very mixed group, some having a relatively slight build, referred to as ‘gracile’, and appearing to be generalist foragers, while others have massive jaws and teeth which reflect a specialized adaptation to feeding on coarse plant material. With the exception of a specimen from Chad, all the fossils have come from either southern or eastern Africa. This most likely reflects no more than the distribution of geological exposures of the appropriate date; it seems probable that the australopithecines lived throughout much of the African continent.
总的来说，该属具有三个关键特征。首先，据我们所知，它们都是部分两足动物。其次 它们的大脑大小在 400 到 500 立方厘米之间，因此与现代非洲猿类相当，并且 大约是现代人脑大小的三分之一。第三——以及与黑猩猩和大猩猩的另一个重要相似之处—— 南方古猿是两性异形的，雄性比雌性大得多。另一个相似之处是 人们通常认为南方古猿的体毛数量与现代猿相似。这个假设是基于 关于为什么体毛在人类进化的后期会减少的想法，我将在后面的章节中考虑。
As a whole, the genus shares three key features. First, as far as we can tell, they were all partially bipedal. Secondly, their brain sizes were between 400 and 500 cubic centimetres, and hence equivalent to those of modern-day African apes and about one third of the size of a modern human brain. Thirdly – and another important similarity with chimpanzees and gorillas-the australopithecines were sexually dimorphic, the males being considerably larger than the females. A further similarity that is often assumed is that the australopithecines had similar amounts of body hair to modern apes. This assumption is based on ideas about why body hair became reduced during a later period of human evolution, which I will consider in a later chapter.
这些原始人物种中最著名的是南方古猿 afarensis，其中最完整的标本是 A.L. 288-1，俗称“露西”。这个标本由 47 块骨头组成， 包括上肢和下肢、脊椎、肋骨和骨盆的那些——这是一个了不起的幸存者 单个个体。还发现了来自该物种其他几个成员的片段，包括一组 来自 13 个个体的 200 多个标本，被称为“第一家族”。一些古人类学家认为南方古猿在人类进化中占有特殊的地位，因为南方古猿是大脑较大的人属的第一个成员进化而来的物种。
The best-known of these hominid species is Australopithecus afarensis, of which the most complete specimen is A.L. 288-1, popularly known as ‘Lucy’. This specimen consists of forty-seven bones, including those of the upper and lower limbs, the backbone, ribs and pelvis – a remarkable number to have survived from a single individual. Fragments from several other members of this species have also been discovered, including a cluster of more than two hundred specimens from thirteen individuals, dubbed the ‘first family’. Some palaeoanthropologists give Australopithecus afarensis a special place in human evolution as the species from which the first member of the bigger-brained Homo genus evolved.
从露西的骨盆、膝盖和脚骨的形状，我们知道南方古猿习惯性地用两条腿度过，身高刚刚超过一米——大约和今天的黑猩猩一样大。但 露西还适应了爬树，或者可能挂在树枝上：相对较短的股骨，弯曲 手指和脚骨、高度灵活的手腕和有力的手臂。这些爬树功能可能只代表 保留了不再使用的祖先解剖特征。对手腕也提供了相同的解释 提示指关节行走的骨骼。3 可是，看来最有可能的是，露西虽然能够用两条腿走路，却也花了相当多的时间 在树上，就像今天的类人猿一样。这本来是为了寻找食物——树叶、水果、昆虫、鸡蛋——以及 用于制作晚上睡觉的叶子巢。4
From the shape of Lucy’s pelvis, knee and foot bones, we know that Australopithecus afarensis habitually spent time on two legs and stood at just over one metre tall – about the same size as a chimpanzee today. But Lucy also had anatomical adaptations for tree-climbing, or perhaps hanging from branches: a relatively short femur, curved finger and foot bones, a highly mobile wrist, and powerful arms. These tree-climbing features may represent no more than the retention of ancestral anatomical features, which were no longer being used. The same explanation has been offered for wrist bones that suggest knuckle-walking.3 It seems most likely, however, that, although being able to walk on two legs, Lucy also spent a considerable amount of time in the trees, just as the great apes do today. This would have been for finding food – leaves, fruits, insects, eggs – and for making leafy nests in which to sleep at night.4
图 7来自埃塞俄比亚哈达尔的南方古猿骨骼。标本 A.L. 288-1，又称 Lucy 及其年代 到大约 350 万年前。露西站起来会只有 1 米多高。
Figure 7 Skeleton of Australopithecus afarensis from Hadar, Ethiopia. Specimen A.L. 288-1, otherwise known as Lucy and dating to around 3.5 million years ago. Lucy would have stood just over 1 metre tall.
相对较小的牙齿和大的大脑区分了可追溯到 2.5 到 180 万年前的两种原始人物种。这些特征的重要性仍存在争议;更大的 大脑可能只不过是一个更大身体的反映。这很难评估，因为很少有 相应的骨骼保持完整。然而，这些与南方古猿的差异被认为是 足够独特和重要，以允许定义一个新的原始人属 Homo。5
Relatively small teeth and large brains distinguish two of the hominid species that date to between 2.5 and 1.8 million years ago. The significance of these features remains debatable; the bigger brain might be no more than a reflection of a bigger body. This is difficult to assess because very few skulls are found with the corresponding skeletal remains intact. However, these differences from the australopithecines have been thought to be sufficiently distinct and important to permit the definition of a new genus of hominids, Homo.5
与南方古猿一样，南方古猿在大小、牙齿图案和身体设计方面似乎存在相当大的差异 这些标本，有些看起来更像人类，有些更像猿。其中几块化石被归类为 Homo habilis，关键标本是来自奥杜瓦伊峡谷的头骨，称为 OH7，可追溯到 175 万年前，它有一个大脑 尺寸为 674 立方厘米。另一个关键化石来自 Koobi Fora。这被称为 KNM-ER 1470，它具有更大的 大脑大小，为 775 立方厘米，被归类为 Homo rudolfensis。
As with the australopithecines, there appears to be considerable variation in size, dental patterns and body design among these specimens, with some looking more human-like and some more ape-like. Several of the fossils are classified as Homo habilis, the key specimen being a skull from the Olduvai Gorge known as OH7, dating to 1.75 million years ago, which has a brain size of 674 cubic centimetres. Another key fossil comes from Koobi Fora. This is known as KNM-ER 1470, which has a larger brain size, at 775 cubic centimetres, and is classified as Homo rudolfensis.
总而言之，4.5 到 180 万年前是几只“两足猿”生活在非洲的时期，每一种 物种的体型和牙列略有不同，反映了行为和饮食的差异。
All in all, the period between 4.5 and 1.8 million years ago was one in which several ‘bipedal apes’ lived in Africa, each species having a slightly different body shape and dentition, reflecting differences in behaviour and diet.
原始人生活方式
Hominid lifestyles
这些两足类人猿中至少有一种，无论是南方古猿还是人猿，经常用玄武岩、燧石和偶尔的其他材料的结核制作石制品。考古学家参考 认为这些人工制品构成了“奥尔多万工业”。其特点是脱落的尖锐薄片 从石头的结节和形状最小的“劈碎工具”中，这个过程留下了。似乎不太可能 原始人在用一块石头敲击另一块石头时，“脑海中”有一种特殊形状的工具：他们只需要两者 锋利的薄片和更坚固的石器。这种工具被用来切开动物的肌腱和肉 屠 体;我们有骨头上的切割痕迹作为证据。这导致动物骨头碎片的积累并被丢弃 石器，最终被发现为考古遗址，例如 Olduvai Gorge 和 Koobi Fora 的考古遗址。6
At least one of these bipedal apes, whether australopithecine or Homo, was routinely making stone artefacts from nodules of basalt, chert and occasionally other materials. Archaeologists refer to these artefacts as constituting the ‘Oldowan industry’. This is characterized both by the sharp flakes that were detached from the nodules of stone and by the minimally shaped ‘chopping tools’ the process left behind. It appears unlikely that the hominids had a particular shape of tool ‘in mind’ when they were striking one stone against another: they simply needed both sharp-edged flakes and more robust stone implements. Such tools were used for cutting through the tendons and flesh of animal carcasses; we have the cut marks on the bones as evidence. This resulted in accumulations of fragmented animal bones and discarded stone tools, which were eventually discovered as archaeological sites, such as those of Olduvai Gorge and Koobi Fora.6
石器很可能也被用于其他任务，例如切割植物材料和磨刀棒。另外 早期的原始人很可能有相当于黑猩猩白蚁棒、蚂蚁探针、叶海绵等的东西。 这些都没有在考古记录中幸存下来。
The stone tools may well also have been used for other tasks, such as cutting plant material and sharpening sticks. In addition, the early hominids most probably had their equivalents of chimpanzee termite sticks, ant probes, leaf sponges and so forth, none of which have survived in the archaeological record.
自 1970 年代以来，考古学家精心挖掘和分析了许多石制品和碎骨 努力重建早期原始人的行为和环境环境。关于他们是否 是猎人还是仅仅是食肉动物杀戮的拾荒者，无论他们是否生活在作为食物分享场所的“大本营”中，以及 儿童保育，以及他们的石器是否比今天黑猩猩制作的工具要复杂得多。7
Since the 1970s, archaeologists have meticulously excavated and analysed many clusters of stone artefacts and fragmented bones in an effort to reconstruct the behaviour and environmental setting of the early hominids. Considerable debate continues as to whether they were hunters or merely scavengers of carnivore kills, whether they lived in ‘home bases’ that were loci for food sharing and childcare, and whether their stone tools are significantly more complex than the tools made by chimpanzees today.7
他们生活方式的某些方面是无可争议的，可以用来提出典型的类人猿叫声曲目 我们必须归因于 600 万年前的共同祖先可能已经发展起来。关于他们的环境，很明显 到 200 万年前，南方古猿和早期人已经适应生活在相对开阔的景观中，这与今天非洲猿人居住的林地形成鲜明对比。 这从化石发现相关的动物——羚羊、牛科动物、斑马和其他物种中可以明显看出 适应于开阔的草原和灌木丛生的稀树草原。这样做的一个关键结果是，原始人很可能已经选择了 生活在比它们居住在森林中的亲戚大得多的群体中，例如 450 万年前的 Ardipithecus ramidus 和 600 万年前难以捉摸的人类和黑猩猩的共同祖先。
Some aspects of their lifestyle are beyond dispute, and can be used to propose how the typical ape-like call repertoire that we must attribute to the 6-million-year-old common ancestor may have developed. As regards their environment, it is clear that by 2 million years ago australopithecines and early Homo were adapted for living in relatively open landscapes, in contrast to the woodlands inhabited by the African apes today. This is evident from the animals with which the fossil finds are associated – antelopes, bovids, zebras, and other species adapted to open grasslands and scrubby savannahs. A key consequence of this is that the hominids are likely to have chosen to live in much larger groups than their forest-dwelling relatives, such as the 4.5-million-year-old Ardipithecus ramidus and the elusive common ancestor of humans and chimpanzees of 6 million years ago.
我们对此充满信心，因为现代灵长类动物在群体规模和栖息地之间存在着密切的关系; 生活在树间的灵长类动物生活在较小的群体中。造成这种情况的原因主要与捕食者的风险有关;trees 提供 一种逃离陆生食肉动物的现成方式，使鸟类难以发现猎物。远离封面 在树木中，安全只能通过数量找到，这提供了更多的眼睛来注意到捕食者，并减少了任何 特定个体会受到攻击。然而，这是有代价的：当 大量生物必须持续生活在彼此附近。8
We can be confident about this because a strong relationship exists among modern-day primates between group size and habitat; primates living among trees live in smaller groups. The reason for this is largely to do with predator risk; trees provide a ready means of escape from terrestrial carnivores and make it difficult for birds to spot their prey. Away from the cover of trees, safety can only be found in numbers, which provide more eyes to notice predators and lessen the chances that any particular individual will be attacked. There is, however, a cost: social tensions leading to conflict can easily arise when large numbers have to live continually in close proximity to one another.8
尽管生活在比它们的直系祖先和现代猿类亲戚更大的群体中，但南方古猿和 早期的同性恋社会群体应该是非常亲密的社区，每个人都对所有 组的其他成员。他们会分享关于现有和过去的社会关系的大量知识 以及他们当地的环境。
Although living in larger groups than their immediate ancestors and their modern-day ape relatives, australopithecine and early Homo social groups would have been very intimate communities, with each individual having considerable knowledge about all the other members of the group. They would have shared a great deal of knowledge about existing and past social relationships and about their local environment.
与现代猿类相比，肉类很可能在南方古猿、Homo habilis 和 Homo rudolfensis 的饮食中发挥了更突出的作用。考古遗址有几个迹象表明这一点：不仅 大量碎片和切割的动物骨骼，但在某些情况下，这些骨骼占主导地位 携带最多的肉。尽管对于吃了多少肉、骨髓、脂肪和器官以及这些是如何吃的，人们的解释各不相同 获得性，最合理的解释是原始人是机会主义者，有时从食肉动物的猎物中挑选剩下的一小块食物，有时自己杀死动物。随着原始人的狩猎 武器似乎仅限于石结节，可能还有锋利的棍子，它们可能只会杀死 受伤或生病的动物。
Meat most likely played a more prominent part in the diets of the gracile australopithecines, Homo habilis and Homo rudolfensis than it does in the diet of modern-day apes. There are several indications of this from the archaeological sites: not only the large collections of fragmented and cutmarked animal bones but also, in some cases, a predominance of those bones that carry the most meat. Although interpretations vary as to how much meat, marrow, fat and organs were eaten, and how these were acquired, the most reasonable interpretation is that the hominids were opportunists, sometimes picking the leftover morsels from carnivore kills and sometimes killing an animal themselves. As the hominids’ hunting weapons appear to have been restricted to stone nodules and, possibly, sharpened sticks, they would probably only have killed injured or sickly animals.
早期原始人行为的其他方面仍然更具争议性。我赞成这样的想法，除了生活在更大的群体中， 原始人觅食的区域比现代猿类覆盖的区域大得多。每天，不同的个体或小 聚会很可能是分开工作的，然后在一天结束时分享他们收集的食物。 这是“大本营/食物共享”假说，最初在 1970 年代提出，以解释为什么出土的骨头碎片 在考古遗址中，通常包括如此多样化的动物物种。9 来自不同栖息地的动物经常一起被发现，这表明尸体的一部分是被四处运输的 景观。石头结节肯定是原始人携带的，因为它们被发现的地方离它们的源头很远。 从他们身上脱落的石片也是如此。似乎可以合理地假设植物性食物也被携带。
Further aspects of early hominid behaviour remain more contentious. I favour the idea that as well as living in larger groups, hominids were foraging over much larger areas than are covered by the modern apes. Each day, different individuals or small parties are likely to have worked quite separately, and then to have shared the food they collected at the end of the day. This is the ‘home base/food sharing’ hypothesis, originally proposed in the 1970s to explain why the excavated bone fragments at archaeological sites often include such a diverse range of animal species.9 Animals from different habitats are frequently found together, suggesting that parts of carcasses were transported around the landscape. Nodules of stone were certainly being carried by the hominids because they are found far from their sources, as are the stone flakes that were detached from them. It seems reasonable to suppose that plant foods were also carried.
早期原始人的解剖学支持了这些关于大草原行为的推论。现存灵长类动物物种的研究 已经确定那些大脑较大的人倾向于生活在（继续）更大的群体中。因此，Homo habilis 和 Homo rudolfensis 的大脑比现代黑猩猩的大脑大 50%，它们可能生活在成比例更大的 群体，可能达到 80 或 90 只。10 吃肉的原因是牙齿大小的缩小，也可能是由于大脑变大，因为肉可能已经 为那个代谢昂贵的器官“提供燃料”所必需的。11 两足行走的趋势表明景观周围运动的程度更大，这将在 下一章。
The anatomy of early hominids supports these inferences about behaviour in the savannah. Studies of living primate species have established that those with larger brains tend to live in (continue)larger groups. And so Homo habilis and Homo rudolfensis, with brains up to 50 per cent larger than those of modern chimpanzees, are likely to have lived in proportionally larger groups, perhaps reaching eighty or ninety individuals.10 Meat-eating is suggested by the reduction in tooth size and also, perhaps, by the larger brain, because meat may have been necessary to ‘fuel’ that metabolically expensive organ.11 A greater degree of movement around the landscape is suggested by the trend to bipedalism, as will be fully explored in the next chapter.
智力和情感
Intellect and emotion
敲击结石结核以形成锋利的薄片和切碎器是否表明更灵巧和/或认知能力更强 比现代猿类发现的技能仍然被广泛争论。12 野生黑猩猩完全没有故意剥落石头的行为，这可能反映出他们不需要这种工具 而不是无法制造它们。仅进行了一项基于实验室的系统实验来测试非洲 猿可以制作 Oldowan 类型的石制品。这只猿猴是 Kanzi，一只已经表现出显着能力的倭黑猩猩 用于使用元件。13 他没能掌握石结节的剥落，但这个结果几乎不是决定性的——一只年轻的动物可能已经有过这样的经历 好多了。
Whether or not the striking of stone nodules to make sharp-edged flakes and choppers indicates greater dexterity and/or cognitive skill than is found in modern apes remains widely debated.12 The complete absence of deliberate stone-flaking among wild chimpanzees might reflect a lack of the need for such tools rather than an inability to make them. Just one systematic laboratory-based experiment has been undertaken to test whether an African ape can make Oldowan-type stone artefacts. The ape in question was Kanzi, a bonobo that had already shown a notable ability for using symbols.13 He failed to master the flaking of stone nodules, but this result is hardly conclusive – a younger animal may have fared much better.
然而，我们可以确信，原始人会是情绪化的动物，感受和表达快乐、悲伤、 愤怒和恐惧。此外，鉴于他们的社会复杂性，我怀疑内疚、尴尬、蔑视和羞耻的感觉会 也有经验。正如我在第 7 章中解释的那样，所有这些情绪都会成为他们面临挑战的行动指南 自然和社会环境。具有社交技能的人会处于优势地位;他们是那些会 知道何时以及如何引发合作，与谁对抗，信任谁，避免谁。情商本来只是 对于生存来说，与理性权衡替代策略的成本、收益和风险的能力一样重要。
However, we can be confident that the hominids would have been emotional creatures, feeling and expressing happiness, sadness, anger and fear. Moreover, in the light of their social complexity, I suspect that feelings of guilt, embarrassment, contempt and shame would also have been experienced. As I explained in chapter 7, all such emotions would have been guides to action in their challenging natural and social environments. Individuals with social skills would have been at an advantage; they were the ones who would know when and how to elicit cooperation, who to fight, to trust, to avoid. An emotional intelligence would have been just as important to survival as the capacity for rationally weighing up the costs, benefits and risks of alternative strategies.
就像现代猿类和人类一样，早期原始人的面部表情、肢体语言、动作和发声也会 传达了感情并导致了适当的社交互动。那些表现出愤怒迹象的人会被避开; 那些看起来平静和快乐的人会被找来梳理毛发、分享喂食和游戏。能够表达自己的 情感对于社交成功至关重要。
Just as with modern apes and humans, the facial expressions, body language, actions and vocalizations of early hominids would have communicated feelings and led to appropriate social interactions. Those who displayed signs of anger would be avoided; those who appeared calm and happy would be approached for grooming, shared feeding and games. Being able to express one’s emotions vocally would have been essential to social success.
一种可能与今天的非洲猿类明显不同的认知能力是原始人理论 的思想。在上一章中，我解释了这是想象信念、愿望、意图和 另一个人的情绪状态可能与自己的不同。完全没有或最多是一个非常弱 猴子和猿类的心智能力理论是它们小范围操纵呼叫的解释。
One cognitive capability that may have been significantly different from that of the African apes today is the hominids’ theory of mind. In the previous chapter I explained that this is the ability to imagine that the beliefs, desires, intentions and emotional states of another individual might be different from one’s own. The complete absence of or, at most, a very weak theory of mind capability among monkeys and apes was the explanation offered for their small range of manipulative calls.
与南方古猿和现代猿类相比，Homo habilis 和 Homo rudolfensis 的大脑相对较大，可能反映了增强的心智能力理论。14 这种理解飞跃的选择压力可能来自生活在较大的群体中以及随之而来的增长 在社交互动的复杂性中。那些更能够预测他人行为的个体，因为 他们可以 “读心术” 在集团内具有竞争优势。我
The relatively large brains of Homo habilis and Homo rudolfensis, when compared with the australopithecines and modern-day apes, might reflect an enhanced theory of mind capability.14 The selective pressure for this leap in understanding would have arisen from living in larger groups and the consequent increase in the complexity of social interactions. Those individuals who were more able to predict the behaviour of others because they could ‘read their minds’ would have had a competitive advantage within the group.I
解剖学和原始人呼叫曲目
Anatomy and the hominid call repertoire
如果我们生活在林地的 600 万年前的祖先与现代非洲猿具有相同的叫声库——我就是这样描述的 在上一章中，作为整体的、操纵的和多模态的——这在 180 万年前是如何演变的 生活在开阔大草原上的原始人？
If our woodland-living, 6-million-year-old ancestor had the same call repertoire as modern African apes – one that I characterized in the previous chapter as holistic, manipulative and multi-modal – how would this have evolved by 1.8 million years ago among the hominids that lived on the open savannah?
我们首先应该注意到，早期原始人，尤其是人，与现代猿类之间的解剖学差异可能为更多样化的发声范围提供了可能性。主要区别在于由于吃肉的饮食趋势，牙齿和颌骨的大小减小了。这种情况本来会改变的 声带最后一部分的形状和体积。部分双足行走产生的更直立的姿势会 也改变了声带——我将在下一章中充分探讨这一发展。
We should first note that the anatomical differences between the early hominids, especially Homo, and the modern-day apes would have provided the potential for a more diverse range of vocal sounds. The key difference is the reduction in the size of the teeth and jaws because of the dietary trend towards meat-eating. This would have changed the shape and volume of the final section of the vocal tract. The more upright stance deriving from partial bipedalism would also have changed the vocal tract – a development I will fully explore in the next chapter.
牙齿和颌骨的变化，以及舌头和嘴唇的潜在运动，都很重要，因为我们可以思考 从嘴里发出的声音来自“手势”，每个手势都由所谓的发音的特定位置产生 机械 – 舌头、嘴唇、下巴和 velum（软腭）的肌肉。15 例如，当我们说“坏”这个词时，我们以嘴唇抿在一起的手势开始，而“爸爸”这个词则以这个词开始 手势涉及舌尖和硬腭。因此，我们的每个音节都与特定的口语有关 手势。
The changes to the teeth and jaws, and hence the potential movement of the tongue and lips, are important because we can think of sounds emitted from the mouth as deriving from ‘gestures’, each created by a particular position of the so-called articulatory machinery – the muscles of the tongue, lips, jaws and velum (soft palate).15 When we say the word ‘bad’, for instance, we begin with a gesture of the lips pursed together, whereas the word ‘dad’ begins with a gesture involving the tip of the tongue and the hard palate. So each of our syllables relates to a particular oral gesture.
心理学家迈克尔·斯图德特-肯尼迪（Michael Studdert-Kennedy）认为，这些手势提供了言语的基本单位，就像它们一样 构成了今天的猿人发声和过去的原始人发声的单位。作为运动动作，这些手势最终 源自古老的哺乳动物的吸吮、舔舐、吞咽和咀嚼能力。这些开始了神经解剖学分化 的舌头，使舌尖、舌体和舌根能够按顺序彼此独立地使用 创建特定手势，这些手势反过来又会产生特定的声音，其中一些声音涉及手势组合。因此 尽管我们应该认为原始人的发声具有整体性，但它们必须由一系列构成 源自口头手势的音节。因此，这些最终有可能被确定为离散单元 它们本身，或彼此结合，可以在组合语言中使用。
The psychologist Michael Studdert-Kennedy argues that such gestures provide the fundamental units of speech, just as they form the units of ape vocalizations today and hominid vocalizations in the past. As motor actions, such gestures ultimately derive from ancient mammalian capacities for sucking, licking, swallowing and chewing. These began the neuroanatomical differentiation of the tongue that has enabled the tongue tip, tongue body and tongue root to be used independently from each other in order to create particular gestures, which in turn create particular sounds, some of which involve a combination of gestures. Consequently, even though we should think of the hominid vocalizations as holistic in character, they must have been constituted by a series of syllables deriving from oral gestures. These, therefore, had the potential ultimately to be identified as discrete units in themselves, or in combination with one another, which could be used in a compositional language.
随着早期 Homo 物种的牙列和颌骨的大小变小，与 那些提供给他们的南方古猿祖先的。虽然我们不知道发声的潜在范围究竟是怎样的 在南方古猿、早期人和现代非洲猿类之间会有所不同，但有一点是肯定的：原始人对高频声音比 是现代人。当清洁来自 Sterkfontein 的化石标本 Stw 151 裸露的中耳腔时 南非，佛罗伦萨大学的古人类学家雅各布·莫吉-切奇 （Jacopo Moggi-Cecchi） 发现了 那个人。这是中耳的三块骨头之一（另外两块是锤骨和砧骨），也是唯一的 发现的早期原始人耳骨。对其大小和形状的详细研究，特别是称为 “脚板”表明它与现代猿类的更相似，而不是人类。在哺乳动物中，脚踏板的大小和可听频率范围之间存在已知的相关性; Stw 151 的脚踏板比现代人的脚踏板小，这表明对高频更敏感 听 起来。16
As the size of the dentition and jaws in the early Homo species became reduced, a different range and a greater diversity of oral gestures would have become possible, compared with those available to their australopithecine ancestors. Although we do not know exactly how the potential range of vocalizations would have varied between the australopithecines, early Homo and the modern African apes, one thing is certain: hominids would have been more sensitive to high-frequency sounds than are modern humans. When cleaning the exposed middle-ear cavity of the fossil specimen known as Stw 151 from Sterkfontein in South Africa, Jacopo Moggi-Cecchi, a palaeo-anthropologist from the University of Florence, found the fossilized stapes of that individual. This is one of the three bones of the middle ear (the other two being the malleus and incus) and the only early hominid ear bone ever found. A detailed study of its size and shape, particularly the part of the bone known as the ‘footplate’, showed it to be more similar to that of modern apes than of humans. There is a known correlation in mammals between the size of the footplate and the range of audible frequencies; the footplate of Stw 151 was smaller than that of modern humans, and this indicates a greater sensitivity to high-frequency sounds.16
Broca 区域和镜像神经元
Broca’s area and mirror neurons
从幸存的颅骨的证据来看，早期人类的大脑似乎比南方古猿的大脑大。然而，仅凭大脑大小并不能告诉我们大脑是如何组织的 – 存在什么类型的神经网络。唯一可能的指标是在 颅骨，它可能反映了大脑的特定形状——但即使这样也可能提供一个完全错误的希望 探索原始人大脑的结构。
From the evidence of the surviving crania, it appears that the brains of early Homo were larger than those of the australopithecines. Brain size alone, however, does not tell us how the brain was organized – what type of neural networks were present. The only possible indicator for this is the impression left on the inside of the cranium, which might reflect the specific shape of the brain – but even this might provide an entirely false hope for exploring the structure of hominid brains.
一些颅骨化石被发现充满了沉积物;当化石骨骼被移除时，内部 由固结沉积物形成的颅骨被留下——被称为“内铸”。在其他情况下，人工内铸 已使用橡胶溶液制成。当杰出的南非古人类学家菲利普·托比亚斯 （Phillip Tobias） 检查内铸型 1970 年代后期的早期智人，尤其是被称为 KNM-ER 1470 的标本，他认为他可以检测到特定的 标志着现代大脑中存在布罗卡区的沟模式。纽约大学 Dean Falk 的研究 1983 年证实了这些发现，她还认为南方古猿内铸型中没有这种沟模式。17
Some fossil crania have been found full of sediment; when the fossil bones were removed, a natural cast of the inside of the cranium, formed by the consolidated sediment, was left behind – referred to as an ‘endocast’. In other cases, artificial endocasts have been made using rubber solution. When the distinguished South African palaeoanthropologist Phillip Tobias examined endocasts of early Homo in the late 1970s, especially the specimen known as KNM-ER 1470, he thought he could detect the impression of the specific sulcal patterns that mark the presence of Broca’s area in the modern brain. A study by Dean Falk from New York University in 1983 confirmed these findings, and she also argued that such sulcal patterns are absent from australopithecine endocasts.17
我在章节中提到了布罗卡区域——大脑的一个区域，曾经被认为专门用于语言并对语言至关重要 3. 现在已知它对一般的运动活动很重要，而语言的神经网络被认为是 在整个大脑中的分布比以前认为的更广泛。尽管如此，布罗卡的地区仍然很重要 由于发现了所谓的“镜像神经元”，它最近成为重新引起人们兴趣的主题。
I referred to Broca’s area – an area of the brain that was once thought to be dedicated to and essential for speech – in chapter 3. It is now known to be important for motor activity in general, While the neural networks for language are recognized as being more widely distributed throughout the brain than was previously thought. Nevertheless, Broca’s area remains important and it has recently become the subject of renewed interest owing to the discovery of so-called ‘mirror neurons’.;
帕尔马大学和南加州大学的大脑科学家贾科莫·里佐拉蒂 （Giacomo Rizzolatti） 和迈克尔·阿比布 （Michael Arbib） 发现 1990 年代研究猴子大脑区域（称为 F5）时的镜像神经元。18 他们已经发现，当动物进行某个动作时，猴子大脑这个区域的一些神经元会变得活跃 例如抓握、握住或撕裂。然后他们发现，当猴子看到另一个神经元时，相同的神经元会变得活跃 猴子（或人类）执行类似的操作。Rizzolatti 和 Arbib 将这些称为“镜像神经元”，并认为它们提供了 人类模仿行为的基础，尤其是与语言相关的行为。他们论点的一个关键方面是，布罗卡的 现代人脑中的区域与猴脑中的区域 F5 同源;换句话说，F5 是直接进化的前体 布罗卡地区。
The brain scientists Giacomo Rizzolatti and Michael Arbib, based at the universities of Parma and Southern California, discovered mirror neurons in the 1990s when studying the area of the monkey brain known as F5.18 They had already found that some neurons in this area of the monkey’s brain become active when the animal undertakes an action such as grasping, holding or tearing. They then discovered that the same neurons become active when the monkey sees another monkey (or a human) undertake a similar action. Rizzolatti and Arbib dubbed these ‘mirror neurons’ and argued that they provide the basis for imitative behaviour in humans, especially in relation to speech. A key aspect of their argument is that Broca’s area in the modern human brain is homologous with area F5 in the monkey brain; in other words, F5 is the direct evolutionary precursor of Broca’s area.
Rizzolatti 和 Arbib 将镜像神经元的活动描述为“代表动作”：“这种表示可以用于 模仿动作并理解它们。我们所说的“理解”是指个人必须认识到这一点的能力 另一个人正在执行操作，以区分观察到的操作与其他操作，并使用此信息 采取适当的行动。根据这种观点，镜像神经元代表了发送者和接收者之间的联系......[是 a] 任何类型通信的必要先决条件。19
Rizzolatti and Arbib describe the activity of mirror neurons as ‘representing action’: ‘This representation can be used for imitating actions and for understanding them. By “understanding” we mean the capacity that individuals have to recognize that another individual is performing an action, to differentiate the observed action from other actions, and to use this information to act appropriately. According to this view, mirror neurons represent the link between sender and receiver that … [is a] necessary prerequisite for any type of communication.’19
Broca 区域内镜像神经元的存在将有助于解释它对语音的重要性，尤其是对采集的重要性 迈克尔·斯图德特-肯尼迪 （Michael Studdert-Kennedy） 描述为人类语言的基本单位的口头手势。大量的语言 儿童的习得是通过声音模仿实现的;孩子模仿父母的运动动作并产生类似的声音， 但没有特定单词开始或结束的概念。20 这种声音模仿是一项了不起的成就。正如 Studdert-Kennedy 所描述的那样：为了模仿口语，模仿者 必须首先在声学信号信息中找到指定哪些器官移动，以及它们在何处、何时以及如何移动 然后必须以相应的行动模式使用他们自己的发音系统。21
The presence of mirror neurons within Broca’s area would help explain its significance for speech, and especially the acquisition of the oral gestures that Michael Studdert-Kennedy describes as the fundamental units of human speech. A great deal of language acquisition by children is achieved by vocal imitation; children copy their parents’ motor actions and produce similar sounds, but with no notion of where a particular word begins or ends.20 Such vocal imitation is a remarkable achievement. As Studdert-Kennedy describes it: To imitate a spoken utterance, imitators must first find in the acoustic signal information specifying which organs moved, as well as where, when, and how they moved with respect to each other, and must then engage their own articulatory systems in a corresponding pattern of action.’21
儿童的声音模仿必须是婴儿甚至一小时大的新生儿发现的面部模仿的延伸 不可 抗拒;向婴儿伸出舌头，它会伸出舌头。Studdert-Kennedy 强调，最初 婴儿只是简单地移动面部的同一部位，而不是精确地模仿动作——例如，舌头可能会突出 从嘴的侧面而不是直接出来。
Vocal imitation by children must be an extension of the facial imitation that infants, and even one-hour-old neonates, find irresistible; stick your tongue out at an infant and it will stick its tongue out. Studdert-Kennedy stresses that initially infants simply move the same part of the face rather than imitating the action precisely – for example, the tongue might protrude from the side of the mouth rather than straight out.
Rizzolatti 和 Arbib 描述的镜像神经元可能在模仿口腔手势中起关键作用，因此在 使儿童能够获得语言。他们是否在语言的进化中发挥着更根本的作用，如 Rizzolatti 和 Arbib 都认为，22 条更具争议性。但他们很可能是对的，即“人类的沟通能力超越了......其他灵长类动物 取决于镜像系统的逐步演变。23
The mirror neurons described by Rizzolatti and Arbib might play a key role in the imitation of oral gestures and hence in enabling children to acquire language. Whether they play a more fundamental role in the evolution of language, as Rizzolatti and Arbib have argued, 22 is rather more contentious. But they are likely to be correct that ‘the human capacity to communicate beyond … other primates depended on the progressive evolution of the mirror system.’23
因此，早期智人的大脑可能显示出进化的布罗卡区的第一个证据，这有点有趣——F5 区的扩大表明数量增加，并且 镜像神经元的使用。如果是这样的话，那么 Homo 可能一直在使用镜像神经元，而不仅仅是为了模仿手、手臂和身体的手势——就像在猴子身上发现的那样 Homo 中 Oldowan 技术的发展清楚地表明了这一点——但也用于模仿现在构成语音基本单位的口头手势。相比之下，这可能使使用更大范围和多样性的口头手势成为可能 与南方古猿和今天的猿类一起传播，然后它们在文化和基因上传播 跨越几代人。
It is, therefore, of some interest that the brains of early Homo may show the first evidence for an evolved Broca’s area – an enlargement of the F5 area suggesting an enhanced number and use of mirror neurons. If this were the case, then Homo may have been using mirror neurons not only for the imitation of hand, arm and body gestures – as might be found in monkeys and is clearly indicated by the development of Oldowan technology in Homo – but also for the imitation of oral gestures that now constitute the fundamental units of speech. This may have enabled a greater range and diversity of oral gestures to be used, as compared with those of the australopithecines and with apes today, which then came to be culturally as well as genetically transmitted across the generations.
呼叫库的觅食和扩展
Foraging and extensions of the call repertoire
面部解剖结构的变化和布罗卡区域的演变很可能首先发生，原因与 发声，但它们的后果是导致原始人与共同祖先的叫声库不同 对猿类和人类。生活方式的改变也会产生类似的影响。到 200 万年前，主要发展是 肉类消费量增加，日常在开阔的景观中进行更广泛的活动。这种生活方式很可能会 导致原始人与捕食者接触的程度相对高于今天的非洲猿类;我们知道 从原始人骨骼上的食肉动物啃食和鹰爪标记来看，原始人确实被当作猎物。24
The changes in facial anatomy and the evolution of Broca’s area most likely occurred first for reasons quite unrelated to vocalization, but they had the consequence of causing the hominid call repertoire to diverge from that of the common ancestor to apes and humans. Changes in lifestyles would have had a similar impact. The key developments by 2 million years ago were an increased consumption of meat and more extensive daily movement through an open landscape. This lifestyle is likely to have caused relatively greater exposure of the hominids to predators than is experienced by the African apes today; we know from carnivore-gnaw and eagle-talon marks on hominid bones that hominids were indeed taken as prey.24
其中一个标本是 1924 年在南非发现的第一只南方古猿，即所谓的 Taung child。 这个头骨是一个 3 到 4 岁的婴儿的头骨，来自一系列动物骨骼，其中包括来自 小狒狒和野兔以及甲和蟹壳。中型哺乳动物的骨骼，它们经常有 与本世纪后期发现的原始人化石一起被发现，明显不存在。对 Taung 骨骼的研究 1994 年，发现了明显的迹象，表明它们实际上最初是由一只大型猛禽收集的。狒狒的头骨有 被从背后闯入，以便进入大脑，并带有独特的爪子和喙印，一些 这些也在 Taung 孩子身上发现。该系列中代表的物种是典型的被捕食物种 被鹰杀死，鹰的骨头堆积在它们的巢内和巢穴下方。因此，看起来大约 230 万 几年前，一只鹰飞下来抢走了一只南方古猿婴儿——毫无疑问，它的母亲显然很痛苦。25
One such specimen was the very first australopithecine discovered, the so-called Taung child, found in South Africa in 1924. This skull was of an infant of three to four years old and came from a collection of animal bones that included bones from small baboons and hares along with tortoise carapaces and crab shells. The bones of medium-sized mammals, which have regularly been found alongside hominid fossils discovered later in the century, were notably absent. A study of the Taung bones undertaken in 1994 found telltale signs that they had in fact originally been collected by a large bird of prey. The baboon skulls had been broken into from behind, in order to gain access to the brain, and carried distinctive talon and beak marks, a few of which were also found on the Taung child itself. The species represented in the collection are typical of those preyed upon by eagles, the bones of which accumulate within and immediately below their nests. And so it appears that, at around 2.3 million years ago, an eagle swept down to snatch an australopithecine infant – no doubt to the evident distress of its mother.25
当老鹰和食肉动物在树木少得多的环境中觅食时，它们会对原始人构成持续的威胁 覆盖物比今天非洲猿类居住的那些还要多。因此，由独居原始人或小团体发出的长途电话 不太可能像现代黑猩猩的喘息声那样突出，因为这种叫声会进一步增加 容易受到捕食者的攻击。黑猩猩在边境狩猎或旅行时特有的安静 他们的领地可能在早期原始人中普遍存在，尤其是在 大团体。这样做的一个结果可能是对发声响度的更大控制;最成功的原始人很可能是那些在需要的时候能够安静地说话的人 满足加强沟通的需求，同时避免引起对自己或团队的关注。
Eagles and carnivores would have been a persistent threat to the hominids when foraging in environments with far less tree cover than those inhabited by the African apes today. Consequently, long-distance calls given by lone hominids or small groups are unlikely to have been as prominent as the pant-hoots of modern-day chimpanzees, for such calls would have further increased vulnerability to predators. The quietness that is characteristic of chimpanzees when hunting or travelling at the border of their territory is likely to have been pervasive among early hominids, especially when operating outside the security of a large group. One consequence of this may have been the development of greater control over the loudness of vocalization; the most successful hominids are likely to have been those who could, when occasion required, speak quietly as a means of meeting the need for greater communication while avoiding attracting attention to themselves or the group.
第二个后果是，手势可能已经变得比今天的猿类更重要。在上一章中，我们 指出 Kubie 使用手势可能是出于避免引起其他雄性大猩猩注意的需要。 可以合理地假设，觅食过程中的手势交流也可能在早期原始人中按顺序发展起来 为了最大限度地降低吸引捕食者的风险——这是通过将双手从运动角色中解放出来而实现的 这发生在两足行走的发展中。
A second consequence is that gesture may have become more important than it is among apes today. In the previous chapter we noted that Kubie’s use of gesture may have developed from the need to avoid attracting the attention of other male gorillas. It is reasonable to suppose that gestural communication during foraging may also have developed among early hominids in order to minimize the risk of attracting predators – this being made possible by the freeing of the hands from a locomotory role that occurred with the development of bipedalism.
捕食者风险的增加可能给原始人带来了选择压力，使其发出类似于 （也许） 比今天长尾猴使用的那些更广泛。鹰、豹和蛇的警报电话会很有帮助 对大草原上的原始人来说，尤其是当一些人的注意力集中在屠宰尸体或剥落时 结节。
Increased risk from predators may have placed selective pressures on the hominids to develop alarm calls similar to, and perhaps more extensive than, those used by vervet monkeys today. Eagle, leopard and snake alarm calls would have been of advantage to hominids on the savannah, especially when the attention of some individuals was absorbed in butchering a carcass or flaking nodules of stone.
尸体的发现本身可能就是另一种操纵电话的机会。如果胴体需要 屠宰，为了获得肉或富含骨髓的骨头，原始人可能经历了相互矛盾的压力：应该 打电话寻求帮助，还是应该保持安静以免引起鬣狗或狮子的注意？完成速度 屠宰然后寻找安全可能是势在必行的，并且很可能是鼓励使用的一个因素 用于切割兽皮和肌腱的石片。因此，我们可以预期会发展出旨在寻求帮助的电话 来自其他人用于处理尸体 - 可能类似于恒河猴使用的那些似乎对数量进行编码的那些 食物，我们在上一章中简要地讨论过。
The discovery of a carcass might itself have been an occasion for another type of manipulative call. If the carcass required butchery, to acquire joints of meat or marrow-rich bones, the hominid(s) might have experienced conflicting pressures: should a call be made to elicit help or should one remain quiet so as not to attract the attention of hyenas or lions? Speed in completing butchery and then finding safety is likely to have been imperative and was most probably a factor that encouraged the use of stone flakes for cutting hide and tendons. Hence we might expect the development of calls geared towards soliciting help from others for the processing of a carcass – perhaps similar to those used by rhesus monkeys that appear to encode the quantity of food, which we considered briefly in the previous chapter.
理查德·利基 （Richard Leekey） 发现了一个可能曾经拨打过此类电话的地点，位于图尔卡纳湖以东 15 英里处 东非。已故的格林·艾萨克 （Glynn Isaac） 成为哈佛大学考古学教授，然后不幸英年早逝 探险队在 1970 年代初期挖掘了该遗址。他称它为河马文物遗址，简称 HAS，因为它 以一具河马的骨骼化石为主，周围散落着石片和砍伐工具 这可以追溯到 160 万年前。这只动物最初躺在河流三角洲的水坑或洼地中。 艾萨克认为，这只动物不太可能是原始人自己杀死的，而是他们发现它死了，然后 捡拾完整的尸体。26
Richard Leakey discovered a site where such calls might have once been made, located fifteen miles east of Lake Turkana in East Africa. The late Glynn Isaac, who became professor of archaeology at Harvard before dying tragically young on a field expedition, excavated the site in the early 1970s. He called it the Hippopotamus Artefact Site, HAS for short, because it was dominated by the fossilized skeleton of a single hippopotamus, surrounded by a scatter of stone flakes and chopping tools that dated to 1.6 million years ago. The animal had originally been lying in a puddle or depression within a river delta. Isaac thought it unlikely that the hominids had killed the animal themselves but rather that they had found it dead and then scavenged upon a complete carcass.26
这一定是一笔财富：河马牛排可以养活许多人，而不是通常在食肉动物杀死尸体后发现的一小口肉、脂肪和骨髓 被鬣狗和秃鹰吵吸了。因此，人们可能会想象与食物相关的呼叫以寻求其他原始人的帮助 谁能带来石片来屠宰 – 艾萨克发现目前没有合适的石片 尸体附近。快速工作是必不可少的，因为在河流三角洲屠宰尸体会暴露出来 原始人到捕食者和其他寻找免费午餐的食腐动物。
This must have been a bonanza: hippopotamus steaks to feed many individuals rather than the mere morsels of meat, fat and marrow typically found on carcasses from carnivore kills after they had been scavenged upon by hyenas and vultures. And so one might imagine food-related calls to elicit help from other hominids who could bring stone flakes for butchery – Isaac found that there were no suitable stones for making flakes in the immediate vicinity of the carcass. Quick work would have been essential, as the butchery of a carcass in a river delta would have exposed the hominids to predators and other scavengers searching for a free lunch.
因此，在大草原上狩猎和捡拾肉类的生活方式似乎很可能会带来压力 在原始人身上扩展他们的整体性、操纵性手势和呼叫的曲目。此扩展可能已发生 要么通过一个学习过程，要么通过与那些可以做出这种决定的个体进行生物进化 获得更高的繁殖成功率。然而，没有理由认为发声等同于人类的言语 是必需的，或者任何语法规则都发生了变化，控制着话语如何连接在一起以组成短语。
It seems likely, therefore, that the lifestyle of hunting and scavenging for meat on the savannah would have placed pressure on hominids to expand their repertoire of holistic, manipulative gestures and calls. This extension might have taken place either through a process of learning or through one of biological evolution with those individuals that could make such calls gaining enhanced reproductive success. There is no reason, however, to think that vocalizations equivalent to human words were required, or that any grammatical rules evolved governing how utterances might be joined together to make phrases.
社交生活和通话曲目的扩展
Social life and extensions of the call repertoire
生活在热带草原上的南方古猿和早期的人类可能生活在比居住在林地的 Ardipithecus 或黑猩猩和人类的共同祖先更大的社会群体中。就像今天的非洲猿一样，它们很可能生活在多种类型 以及具有主导等级制度的多女性群体。性二态性表明，占主导地位的男性控制着后宫 并且存在类似类人猿的群体内竞争配偶和地位的模式。
The savannah-dwelling australopithecines and early Homo are likely to have lived in larger social groups than either the woodland-dwelling Ardipithecus or the common ancestor of chimpanzees and humans. Like the African apes today, they are likely to have lived in multi-make and multi-female groups, with dominance hierarchies. Sexual dimorphism suggests that dominant males had control of harems and that ape-like patterns of intra-group competition for mates and status were present.
成年雄性原始人很可能使用相当于大猩猩的双重咕噜声的叫声来调解它们的社交互动。 由于竞争情况的数量可能与小组的规模成正比，因此频率 这样的电话会增加。此外，如果此类调用是为了保持其各自的独特性，就像 对于今天的大猩猩，原始人会面临选择压力，以产生更大范围的声学变化 在这个 class 的 call 中。人们也可以很容易地想象，“自发的”和“回应”的咕噜声可能是 由第二个应答加入，一个应答来自原始调用方或第三方。
Adult male hominids are likely to have used calls equivalent to the gorillas’ double grunt to mediate their social interactions. As the number of com petitive situations is likely to have been directly proportional to the size of the group, the frequency of such calls would have increased. Moreover, if such calls were to maintain their individual distinctiveness, as in the case of gorillas today, there would have been selective pressure on the hominids to generate a greater range of acoustic variation within this single class of call. One can also readily imagine that the ‘spontaneous’ and ‘answer’ grunts might have been joined by a second answer, one coming from either the original caller or a third party.
更大的群体规模和雄性之间竞争的加剧也可能为手势交流造成了选择压力。 正如我们在上一章中看到的那样，Kubie 采取了手势，这样他就不会引起更高级别男性的注意 与女性互动时。这发生在旧金山动物园围栏的非自然背景下，但同样的情况可能出现在早期原始人群体的自然背景下。事实上，雄性之间对配偶的竞争是可能的 一直很激烈，年轻、体型较小的雄性不得不进行秘密交配的机会，为此要么 无声的手势交流或安静的发声可能是必不可少的。
Larger group size and enhanced competition between males may also have created selective pressures for gestural communication. As we saw in the previous chapter, Kubie adopted gestures so that he would not attract the attention of higher-ranking males when interacting with a female. This arose in the unnatural context of an enclosure in San Francisco Zoo, but the same situation may have arisen in the natural context of early hominid groups. Indeed, competition between males for mates is likely to have been intense, with younger, smaller males having to engage in surreptitious mating opportunities, for which either silent gestural communication or quiet vocalizations may well have been essential.
就像在今天的猿类群落中发现的那样，将存在一个复杂且不断变化的友谊和联盟网络 在原始人个体和小群体之间。今天的非人类灵长类动物通过梳理毛发来表达他们对彼此的承诺 – 梳理时间越长，关系就越牢固。随着团队的规模越来越大，每个人都必须进行投资 有更多的时间培养他人，以便为他或她必须维持的越来越多的社会关系提供服务。美容 创造社会纽带和凝聚力——尽管具体如何以及为什么尚不清楚。它很可能释放出已知的化学物质 作为阿片类药物进入大脑，从而产生满足感和愉悦感。社交修饰提供背景 关于语言进化的最有趣的想法之一——声音修饰假说。27
Just as is found among ape communities today, there would have been a complex and ever-changing web of friendships and alliances between hominid individuals and small groups. Non-human primates today express their commitment to each other by grooming – the longer the time spent grooming, the stronger the relationship. As groups become larger, each individual has to invest more time in grooming others in order to service the increasing number of social relationships he or she must maintain. Grooming creates social bonding and cohesion – although exactly how and why remains unclear. It most probably releases chemicals known as opiates into the brain, which result in a feeling of contentment and pleasure. Social grooming provides the background to one of the most intriguing ideas about the evolution of language – the vocal grooming hypothesis.27
1993 年，人类学家 Leslie Aiello 和 Robin Dunbar 提出，到 Homo habilis 和 Homo rudolfensis 时代，早期原始人群体的规模已经变得如此之大，以至于梳理不再可行作为表达一个人 对集团其他成员的社会承诺。必须花费很长时间来梳理，以至于没有足够的时间 用于寻找食物等活动。他们提出，“语言”演变为一种声音修饰形式：“一种表达 可以同时与多个人分享共同利益和承诺”。28 “语言”的好处是双重的：一个人可以同时发声地引导多个人，而这个 可以在进行其他活动（如植物采集）的同时进行。
In 1993, the anthropologists Leslie Aiello and Robin Dunbar suggested that by the time of Homo habilis and Homo rudolfensis the size of early hominid groups had grown so large that grooming was no longer feasible as the only means to express one’s social commitment to other members of the group. So long would have to be spent grooming that insufficient time would be left for activities such as finding food. They proposed that ‘language’ evolved as a form of vocal grooming: ‘an expression of mutual interest and commitment that could be simultaneously shared with more than one individual’.28 The advantage of ‘language’ would be twofold: one individual could vocally groom more than one other at a time, and this could be done while simultaneously pursuing other activities such as plant gathering.
Aiello 和 Dunbar 认为，人们可以在 gelada 猴子中观察到一种发声梳理形式，他们的 节奏和旋律的使用，如上一章所述。他们的主张是，在我们的原始人祖先中 会逐渐从基于身体接触的社会纽带过渡到基于发声的社会纽带。 他们声称，语言是作为一种“八卦”手段而进化的——一种谈论和表达社会关系的方式。这仍然是 他们争辩说，这是它今天的主要功能。
Aiello and Dunbar suggested that a form of vocal grooming is precisely what one can observe among gelada monkeys, with their use of rhythm and melody, as described in the previous chapter. Their proposition is that among our hominid ancestors there would have been a gradual transition from social bonding based on physical contact to social bonding based on vocalization. Language evolved, they claim, as a means of ‘gossip’ – a way to talk about and express social relationships. And this remains, they contend, its principal function today.
尽管语言是为了管理社会关系而进化的观点令人信服，但 “八卦”假说。其中一个问题是早期原始人如何表达他们的社会承诺，让 独自一人谈论第三方社会关系，只使用类似猿猴的电话，即使这些电话已经逐渐增加 在数量和声学多样性方面。即使他们能够做到这一点，被发声修饰的人又如何 被说服这是社会承诺的标志吗？正如人类学家克里斯·奈特 （Chris Knight） 所说，言语来得廉价，而且 是不可靠的——早期原始人发出的整体的、操纵性的呼吁也是如此。因此，他们不会 替代长时间的刺激性身体修饰。29
Although the idea that language evolved in order to manage social relationships is compelling, there are problems with the ‘gossip’ hypothesis. One of these is the question of how early hominids could have expressed their social commitments, let alone talked about third-party social relationships, using no more than ape-like calls, even if these had gradually increased in number and acoustic diversity. And even if they were able to do this, how would the individual that was being vocally groomed be persuaded that this was a sign of social commitment? As the anthropologist Chris Knight has argued, words come cheap and are unreliable – and so would have been the holistic, manipulative calls made by early hominids. As such, they would be no substitute for a lengthy period of pleasure-inducing physical grooming.29
然而，虽然这对说话来说是正确的，但对于唱歌来说可能并非如此。如果我们将早期的声音修饰视为相关 到音乐的起源而不是语言的起源，那么 Aiello 和 Dunbar 的论点更有说服力。30 我们知道，一起唱歌可以促进社会纽带，而这也许会引起与此相同的快乐和满足的感觉 被培养，我将在第 14 章中探讨。Aiello 和 Dunbar 对早期阶段声乐修饰的描述 事实上，它更接近歌曲而不是演讲，因为他们优先考虑它的语气和情感内容，而不是它的信息内容。
Yet while this is true for talking, it may not be the case for singing. If we conceive of early vocal grooming as relating to the origin of music rather than of language, then Aiello and Dunbar’s arguments are more persuasive.30 We know that singing together enables social bonding, and this may induce the same feelings of pleasure and contentment as being groomed, as I will explore in chapter 14. Aiello and Dunbar’s characterization of vocal grooming in its earliest stages is in fact much closer to song than speech, for they prioritize its tone and emotional content over its information content.
因此，我们应该将早期原始人的社会发声视为节奏和旋律类型的详细说明 Gelada Monkeys 使用的话语。如果存在这种发声行为，我们可以很容易地想象成对或小群的原始人 这听起来像是他们一起唱歌，而不是八卦，以此来巩固他们的社会承诺 彼此之间。
We should, therefore, think of the early hominid social vocalizations as elaborations of the type of rhythmic and melodic utterances used by gelada monkeys. If such vocal behaviour were present, we can readily imagine pairs or small groups of hominids that would sound as if they were singing together, rather than gossiping, as a means of consolidating their social commitment to one another.
此外，表达和诱导情感可能与展示社会承诺同样重要。那些人 能够生成带有音高序列的话语以诱发幸福情绪的人很可能具有选择性的 优势，因为它们会促进更大程度的合作行为（见第 7 章）。合作本来是 对原始人生活至关重要，无论是在觅食行为、食物分享还是社交互动方面。社会紧张局势会 在原始人群体中相当重要，因此是公共歌声，在扩散的同时引发满足情绪 愤怒的那些，可能很常见。更一般地说，原始人会开始表达自己的情感并尝试 通过发声在他人中引起特定的情绪，其声音的变异性比 非洲猿类。甚至可以想象，他们利用了一些特定的音高模式，这些模式似乎会引起特定的 现代人类的情感，如第 7 章所述。
Expressing and inducing emotion, moreover, may have been just as important as demonstrating social commitment. Those individuals who were able to generate utterances with pitch sequences that induced emotions of happiness are likely to have had a selective advantage, because they would promote greater degrees of cooperative behaviour (see chapter 7). Cooperation would have been essential for hominid life, whether in terms of foraging behaviour, food sharing or social interaction. Social tension would have been considerable within the hominid groups, and hence communal song, inducing emotions of contentment while diffusing those of anger, may have been common. More generally, hominids would have begun to express their own emotions and to attempt to induce particular emotions in others, by means of vocalizations having greater acoustic variability than is found among the African apes. It is even conceivable that they utilized some of the specific pitch patterns that appear to induce particular emotions in modern humans, as described in chapter 7.
心智理论能力将极大地促进这种发展。拥有心智理论后，原始人会 对其他人的情感、信仰、欲望和意图有更大的欣赏，并且本来会 能够以现代猴子和猿类无法预测的方式预测它们的行为。因此，很可能 整体性和操纵性的呼唤会增加，从而最大限度地提高他人以自己最希望的方式行事的可能性。例如，可能有一个更大的 当母亲意识到婴儿缺乏知识时，专门打给婴儿的电话数量。 事实上，心智理论和母婴交流的发展对于发展 Oldowan 技术，使剥落技术技能代代相传 结节。31
The theory of mind capability would have greatly enhanced this development. Possessed of a theory of mind, hominids would have had a greater appreciation of the emotions, beliefs, desires and intentions of other individuals, and would have been able to predict their behaviour in a manner impossible for modern monkeys and apes. Hence it is probable that the range of holistic and manipulative calls would have increased so as to maximize the likelihood that others would behave in the way most desirable to oneself. There may for instance, have been a greater number of calls specifically directed from mothers to their infants once they became aware of their infants’ lack of knowledge. Indeed, a theory of mind and the development of mother-infant communication were probably essential for the development of Oldowan technology, enabling the cultural transmission from one generation to the next of the technical skills for flaking stone nodules.31
在 FxJi50
At FxJi50
我们可以确定非洲的一些地点曾经听到过这种声音。这些是 Glynn Isaac 被解释为原始人群体的大本营，这些原始人花了一天时间单独或成群结队地觅食 并带回了动物尸体和植物收藏品，以便在社会群体中分享。虽然他相信 这样的聚会主要是为了分享食物，人类学家强调了它们对防御捕食者的价值， 因此，它们很可能位于树木之间。一个关键的例子是 FxJj50.32 这是在东非的 Koobi Fora 地区，由 Glynn Isaac 和他的同事在 1970 年代后期挖掘出来。
We can identify some of the sites in Africa where such vocalizations would once have been heard. These are the sites that Glynn Isaac interpreted as home bases for groups of hominids that had spent the day foraging individually or in small parties and had brought back pieces of animal carcasses and collections of plants to share out among the social group. While he believed such gatherings were primarily for food sharing, anthropologists have stressed their value for defence against predators, and they are therefore likely to have been sited among trees. A key example is FxJj50.32 This is in the Koobi Fora region of East Africa and was excavated by Glynn Isaac and his colleagues in the late 1970s.
当 FxJj50 在 160 万年前被占领时，它位于一条水道旁边，靠近阴凉的树木和丛生的树林 果树，可通往石头剥落。出土了近 1500 块碎石，以及 有两千多块动物骨头碎片。其中几件有石制品的切割痕迹，可以拼接 重新组合在一起，以便重建屠宰的特定模式。他们来自至少 20 个不同的 动物种类，包括各种羚羊、长颈鹿、狒狒、和鸟类。艾萨克相信，这种多样性 是食物共享的关键证据——为什么来自不同当地环境的如此广泛的动物类型会有 被带到一个地方？
When occupied at 1.6 million years ago, FxJj50 was located next to a watercourse, close to groves of shady trees and clumps of fruiting bushes, with access to stones for flaking. Almost fifteen hundred pieces of chipped stone were excavated, along with more than two thousand fragments of animal bones. Several of these had cut-marks from stone artefacts and could be joined back together so that the specific patterns of butchery could be reconstructed. They had come from at least twenty different species of animals, including a variety of antelopes, giraffe, baboons, tortoises and birds. Isaac believed that such diversity was key evidence for food sharing-why else would such a range of animal types, coming from different local environments, have been brought to one single locality?
因此，在 FxJj50 上，人们应该想象 30 个或更多的原始人聚集在一起：男性、女性和婴儿;地位高的人 以及那些地位低下的人;具有不同性格和情感的个体;那些有资源可以分享的人和那些希望 消耗一些食物。从现场发出的各种电话，反映了活动的多样性， 这些在一天中是如何变化的，以及个人和整个群体的不同情绪状态。一个人可能已经 听到捕食者警报声;与食品供应有关的电话和屠宰帮助请求;母婴通信; 成对和小团体的声音，通过旋律的呼唤来维持他们的社会纽带;和发声 表达特定情绪并试图在他人身上诱导这些情绪的个体。最后，在黄昏时分，人们也许应该想象同步发声——一首公共歌曲——诱导 随着夜幕降临，原始人在树上睡着，所有人的情绪都平静下来，消失在寂静中。
So at FxJj50 one should imagine thirty or more hominids gathered together: males, females, and infants; those of high status and those of low status; individuals with different personalities and emotions; those with resources to share and those wishing to consume some food. Emanating from the site would have been a variety of calls, reflecting the diversity of activities, how these changed through the day, and the varying emotional states of individuals and the group as a whole. One might have heard predator alarm calls; calls relating to food availability and requests for help with butchery; mother-infant communications; the sounds of pairs and small groups maintaining their social bonds by communicating with melodic calls; and the vocalizations of individuals expressing particular emotions and seeking to induce them in others. Finally, at dusk, one should perhaps imagine synchronized vocalizations – a communal song – that induced calm emotions in all individuals and faded away into silence as night fell and the hominids went to sleep in the trees.
摘要：“嗯”通信的起源
Summary: the origin of ‘Hmmmm’ communication
从 600 万年前的共同祖先时代到 最早的 200 万年前的 Homo 将对原始人的通信系统产生重大影响。要问的关键问题是 我们只是在处理本质上相同的发声/手势的多样性和数量的增加 在现代猿类和猴子中发现，或者是否发生了种类的变化。在上一章中，我描述了 猿猴和猴子的发声/手势是整体性的和操纵性的，而不是构图和指涉性的。我 看不出为什么早期原始人应该有所不同。尽管他们有一定程度的两足行走能力，并且 一些物种拥有更大的大脑并制造基本的石器，直到 180 万年前，原始人仍然非常“像猿” 在他们的解剖结构和行为中因此，我相信他们的声音和手势话语在某种意义上仍然是整体的 它们是完整的信息，而不是要组合的文字，并被用来操纵他人的行为 而不是告诉他们关于世界的事情。
Changes in anatomy, foraging behaviour and social life between the time of the common ancestor at 6 million years ago and the earliest Homo at 2 million years ago would have had a major impact on the hominid com munication system. The key question to ask is whether we are dealing simply with an increase in diversity and quantity of vocalizations/gestures of essentially the same kind as are found among modern-day apes and monkeys, or whether a change in kind occurred. In the previous chapter I characterized the ape and monkey vocalizitions/gestures as being holistic and manipulative, rather than compositional and referential. I see no reason why this should have been different for the early hominids. Although they had some degree of bipedalism, and some species had larger brains and made basic stone tools, up until 1.8 million years ago the hominids remained very ‘ape-like’ in their anatomy and behaviour Hence my belief is that their vocal and gestural utterances remained holistic, in the sense that they were complete messages rather than words to be combined, and were employed to manipulate the behaviour of others rather than to tell them things about the world.
我建议与猿猴交流系统形成对比的是，手势和类似音乐的声音的范围会增加。要使 这种差异是明确的，将早期的原始人通信系统称为“嗯嗯”是合适的——它是整体的， 多模态、操纵和音乐。虽然这些特征中的每一个都可以在现代猿类的通信系统中找到 和猴子，我相信它们在早期的原始人中融合在一起。结果是一个通信系统 比现在在非人类灵长类动物中发现的要复杂得多，但与人类语言完全不同。
The contrast I would propose with the ape and monkey communication systems is that the extent of gestures and music-like vocalizations would have increased. To make this difference explicit, it is appropriate to refer to the early hominid communication system as ‘Hmmmm’ – it was Holistic, multi-modal, manipulative, and musical. While each of these features is found in the communication systems of modern apes and monkeys, I believe that they became integrated together among the early hominids. The result was a communication system more complex than that found now among non-human primates, but one quite different from human language.
10 进入节奏
10 Getting into rhythm
双足行走和舞蹈的演变
The evolution of bipedalism and dance
Dave Brubeck’s ‘Unsquare Dance’: Homo ergaster playing with sticks
and beginning to dance
到 180 万年前，一种新的人类祖先已经进化出来：Homo ergaster。一些人类学家将这个物种指定为我们属的第一个成员，认为 Homo habilis 和 Homo rudolfensis 应该与南方古猿归类。1 不管是不是这样，Homo ergaster 可能代表了人类进化的一个转折点。
By 1.8 million years ago, a new form of human ancestor had evolved: Homo ergaster. Some anthropologists designate this species as the first member of our genus, believing that Homo habilis and Homo rudolfensis should be categorized with the australopithecines.1 Whether or not that is so, Homo ergaster may represent a turning point in human evolution.
在 1984 年在肯尼亚的 Nariokotome。可以追溯到 160 万年前，它表明，类似猿的南方古猿身体计划，具有 它关于指关节行走和爬树的建议，此时已被具有独特现代感的提议所取代。Homo ergaster 用两条腿直立行走，与我们今天的方式相同。正是这种进化的发展——双足行走——走向了 我们现在必须转向，因为它对人类语言和音乐的进化具有重大的、也许是深远的意义 能力。
A spectacularly well-preserved specimen of a male adolescent with a brain size of 880 cubic centimetres was discovered in 1984 at Nariokotome in Kenya. Dating to 1.6 million years ago, it showed that the ape-like, australopithecine body plan, with its suggestions of knuckle-walking and tree-climbing, had by this time been replaced by one that is distinctively modern. Homo ergaster walked upright on two legs in the same fashion as we do today. It is this evolutionary development – bipedalism – to which we must now turn, because it has significant, perhaps profound, implications for the evolution of human linguistic and musical abilities.
乍一看，这听起来可能令人惊讶，因为到目前为止，我们主要在寻找它们在 大脑、声带和社交生活。这是因为我在很大程度上一直遵循着一个狭隘的音乐定义，即 只关心声音。但是，正如我在第 2 章中解释的那样，音乐和语言都不能有效地脱离运动。 因此，我们必须考虑整个人体解剖学，以便了解它们的进化。事实上，两足行走的影响 关于我们如何移动和使用我们的身体，以及它对人脑和声带的影响，可能引发了最大的 人类历史上的音乐革命。正如民族音乐学家约翰·布莱金（John Blacking）在1973年所写的那样，“许多（如果不是全部）音乐是必不可少的 过程可以在人体的构成和社会中人体的互动模式中找到。阿拉伯数字
This may at first sound surprising, since so far we have been primarily searching for their origin in the evolution of the brain, vocal tract and social life. This is because I have largely been following a narrow definition of music, one that is concerned with sound alone. But, as I explained in chapter 2, neither music nor language can be usefully divorced from movement. Hence we must consider the whole of human anatomy in order to understand their evolution. Indeed, the impact of bipedalism on how we move and use our bodies, together with its impact on the human brain and vocal tract, may have initiated the greatest musical revolution in human history. As the ethnomusicologist John Blacking wrote in 1973, ‘Many, if not all, of music’s essential processes can be found in the constitution of the human body and in patterns of interaction of human bodies in society.’2
双足行走的解剖学
The anatomy of bipedalism
尽管黑猩猩和大猩猩可以用两条腿站立并摇摇晃晃地迈出几步，但这同样困难且 对他们来说，精神上具有挑战性，就像我们用四肢跑来跑去一样。运动偏好的差异源于猿和 人体解剖学，特别是四肢的长度、髋关节、膝关节和踝关节的性质以及脚趾的形状。3 由于这种解剖学适应遍布如此多的骨骼区域，因此古人类学家已经能够追踪逐渐 在我们的原始人祖先中从四足到两条腿行走的转变，这最终导致了 Homo ergaster 的进化。
Although chimpanzees and gorillas can stand and take a few wobbly steps on two legs, this is as strenuously difficult and mentally challenging for them as it is for us to run around on four limbs. The difference in locomotory preferences arises from contrasts between ape and human anatomy, notably in the length of the limbs, the nature of the hip, knee and ankle joints, and the form of the toes.3 Because such anatomical adaptations pervade so many skeletal areas, palaeoanthropologists have been able to trace the gradual transition from four-legged to two-legged walking in our hominid ancestors, which culminated in the evolution of Homo ergaster.
图 8来自肯尼亚 Nariokotome 的 Homo ergaster 骨骼。标本 KNM-WT 15000，可追溯到大约 160 万年前。 据估计，这个人重 67 公斤，身高 1.6 米。
Figure 8 Skeleton of Homo ergaster from Nariokotome, Kenya. Specimen KNM-WT 15000, dating to around 1.6 million years ago. This individual is estimated to have weighed 67 kilograms and stood 1.6 metres tall.
猿的解剖学实际上是适合两种不同类型运动的适应之间的折衷方案：一种四足运动的形式 运动（四足动物）被称为指关节行走和爬树。虽然人的脚提供了一个平台，并且具有 大脚趾与其他脚趾对齐，猿脚已经进化为抓握。它的大脚趾与其他脚趾成不同的角度 脚趾，就像我们有一个可对立的拇指一样。脚趾本身是弯曲的，便于抓握、攀爬和悬挂 从分支。
Ape anatomy is in fact a compromise between adaptations suited for two different types of locomotion: a form of four-legged locomotion (quadrupedalism) known as knuckle-walking, and tree-climbing. While the human foot provides a platform and has the big toe aligned with the others, the ape foot has evolved for grasping. Its big toe is at a divergent angle from the other toes, in the same way as we have an opposable thumb. The toes themselves are curved to facilitate gripping, climbing and hanging from branches.
人类和猿类膝关节之间的主要区别在于后者不能被锁定以产生笔直的腿。猿 必须保持双腿略微弯曲，因此需要使用肌肉力量来保持身体直立。他们的大腿骨是 垂直的，而不是像人类那样向膝盖向内倾斜，导致他们的双脚分开 用两条腿走路。因此，猿类必须将其体重从一侧转移到另一侧，以便它们的重心 依次放在每条负重腿上。我们通过将双脚相对靠近来避免这种蹒跚的步态 在地面上，并使用强壮的臀部肌肉来对抗任何左右运动。
The key difference between human and ape knee joints is that the latter cannot be locked out’ to produce a straight leg. Apes have to keep their legs slightly bent and hence need to employ muscle power to keep the body upright. Their thigh bones are vertical, rather than sloping inwards towards the knee like those of humans, causing their feet to be placed well apart when walking on two legs. As a consequence, apes have to shift their body weight from side to side so that their centre of gravity is brought over each weight-bearing leg in turn. We avoid this waddling gait by placing our feet relatively close together on the ground and using strong hip muscles to counter any side-to-side movement.
双足行走的解剖适应会持续到整个身体：更宽的骨盆、弯曲的下脊柱和抬起的头部 垂直。在这样的解剖结构下，人类具有跨步、流畅的步态，其中每条腿交替地遵循一个摆动阶段 通过姿态阶段。人类学家罗杰·勒温 （Roger Lewin） 这样描述它：“摆动阶段的腿利用力量推开 的大脚趾，在身体下方以略微弯曲的位置摆动，最后再次作为脚伸展 与地面接触，首先与脚跟接触（脚跟撞击）。一旦发生脚跟着地，腿就会保持伸展 并为身体提供支撑 - 站立阶段 - 而另一条腿经历摆动阶段，身体继续 向前移动。等等'。4
Anatomical adaptations for bipedalism continue up through the body: a broader pelvis, a curved lower spine, and a head held vertically. With such anatomy, humans have a striding, fluid gait, in which each leg alternately has a swing phase followed by a stance phase. The anthropologist Roger Lewin describes it thus: ‘the leg in the swing phase pushes off using the power of the great toe, swings under the body in a slightly flexed position, and finally becomes extended as the foot once more makes contact with the ground, first with the heel (the heel-strike). Once the heel-strike has occurred, the leg remains extended and provides support for the body – the stance phase – while the other leg goes through the swing phase, with the body continuing to move forward. And so on’.4
我们在上一章中讨论过的南方古猿和最早的人类习惯性地用两条腿走路，但这样做的效率会明显降低 而不是 Homo ergaster，因为他们只拥有一套针对两足行走的部分解剖适应。这些与改编相结合 树栖生活——爬树和吊死——当 Homo ergaster 出现时，这些生活已经消失了。在已知的部分陆地/部分树栖原始人中，最突出的是存在于 3.5 到 300 万年前的南方古猿，最代表的是露西，这是 47 个独特的集合 来自单个个体的骨头。5
The australopithecines and earliest Homo, which we considered in the previous chapter, habitually walked on two legs, but would have done so with markedly less efficiency than Homo ergaster because they possessed only a partial set of anatomical adaptations for bipedalism. These were combined with adaptations for arboreal life – tree-climbing and hanging – which had become lost by the time that Homo ergaster appeared. Pre-eminent among the known part-terrestrial/part-arboreal hominids is Australopithecus afarensis, which existed between 3.5 and 3 million years ago, and is best represented by Lucy, the unique collection of forty-seven bones from a single individual.5
除了已经提到的爬树适应外，这些骨骼还表明露西具有几个关键的解剖特征 双足行走的标志：大腿骨（股骨）具有与现代人相同的倾斜形状，现代人将 导致行走时双脚并拢;骨盆短 刀片向内旋转，远不止 类似于现代人而不是猿类;大脚趾与脚的主要部分的关节表明 它是平行的，而不是发散的。
Alongside the adaptations for tree-climbing already mentioned, these bones show that Lucy had several key anatomical features indicative of bipedalism: the upper leg bone (femur) has the same angled shape as that of modern humans, which would have resulted in the feet being placed close together when walking; the pelvis short With its blades rotated inwards, far more similar to that of a modern human than of an ape; and the articulation of the big toe with the main portion of the foot indicates that it was parallel rather than divergent.
1978 年，一条 27 米长的 360 万年前的原始人足迹被保存下来，这是露西双足行走能力的有力证明 在坦桑尼亚的 Laetoli 发现了火山灰。Australopithecus afarensis 是目前该地区唯一已知的原始人物种，因此被认为是负责物种的原因。这; 玛丽·利基 （Mary Leakey） 精心挖掘了脚印，她透露曾经有三个人走过 然后是厚厚的湿火山灰床。脚印显示出强烈的脚跟撞击，然后重量转移到 在脚外侧，然后越过脚掌，最后集中在大脚趾上。
Dramatic proof of Lucy’s bipedalism came in 1978 when a 27 metre-long trail of 3.6 million-year-old hominid footprints preserved in volcanic ash was discovered at Laetoli in Tanzania. Australopithecus afarensis is the only known hominid species from this region at this date, and is therefore assumed to have been responsible. The; footprints were meticulously excavated by Mary Leakey, who revealed that three individuals had once walked across what was then a thick bed of wet volcanic ash. The footprints show a strong heel-strike, followed by the transfer of weight to the outside of the foot, then across to the ball of the foot, and finally concentrated on the big toe.
虽然没有其他南方古猿物种的解剖结构像露西那样广为人知，但似乎所有这些物种 或多或少是双足行走的。尽管如此，这是一种与现代双足行走完全不同的类型 人类。1994 年，一个令人惊讶的来源证实了这一点——内耳的骨迷宫。6 它由三个彼此成直角的半规管组成，这对于使我们能够 在走路、跑步和用两条腿跳跃时保持平衡，甚至用一条腿跳。猿类和猴子也有骨头 迷宫，但三根管的大小和比例与人类的差异很大，反映了它们的不同 运动方法。
Although the anatomy of no other australopithecine species is as well known as that of Lucy, it appears that all such species were bipedal to a greater or lesser extent. This was, nonetheless, a quite different type of bipedalism from that of modern humans. Confirmation of this came in 1994 from a surprising source – the bony labyrinth of the inner ear.6 This consists of three semicircular canals positioned at right angles to each other, which are crucial for enabling us to keep our balance when walking, running and jumping on two legs, and even hopping On one. Apes and monkeys also have a bony labyrinth, but the size and proportions of the three canals are very different from those in humans, reflecting their different locomotory methods.
伦敦大学学院的弗雷德·斯普尔 （Fred Spoor） 和他的同事发现，化石头骨仍然保持着骨迷宫 并且可以使用为对活人进行脑部扫描而开发的技术来检测，特别是 CT 扫描。 他们扫描了来自四个不同物种的 12 个头骨化石的内耳：两种类型的南方古猿，Homo habilis 和 Homo ergaster。
Fred Spoor of University College London and his colleagues discovered that fossilized skulls still maintain the bony labyrinth and that this can be detected using the technology developed for making brain scans of living people, specifically CT scans. They scanned the inner ears of twelve fossil skulls coming from four different species: two types of australopithecine, Homo habilis and Homo ergaster.
图 9黑猩猩、南方古猿 （Lucy） 和智人对爬树和两足行走的解剖适应。
Figure 9 Anatomical adaptations for tree climbing and bipedalism in the chimpanzee, Australopithecus afarensis (Lucy) and Homo sapiens.
仅 Homo ergaster 标本就具有与现代人类相似的内耳形态。南方古猿的 DNA 像猿，而 单个 Homo habilis 标本看起来更像现代猴子的标本，而不是猿类或人类的标本。Spoor 和他的同事得出结论，尽管 南方古猿能够用两条腿站立和行走，更复杂的动作，如奔跑和跳跃，会 已经超越了他们。与南方古猿同时代存在的 Homo habilis 甚至不那么两足行走，可能花更多的时间用指关节走路 或生活在树上——从已知的少数颅后（非颅骨）骨骼中已经怀疑了这一点。
The Homo ergaster specimens alone had an inner ear morphology like that of modern humans. That of the australopithecines was ape-like, while the single Homo habilis specimen looked more like that of modern monkeys than of either apes or humans. Spoor and his colleagues concluded that although the australopithecines were able to stand and walk on two legs, more complex movements, such as running and jumping, would have been beyond them. Homo habilis, existing at a date contemporary with the australopithecines, was even less bipedal, perhaps spending more time knuckle-walking or living in the trees – something already suspected from the few postcranial (non-skull) bones that are known.
因此，我们回到 l. 800 万年前的 Homo ergaster，以所谓的 Nariokotome 男孩为代表，作为第一个完全两足的原始人。这 物种具有产生 Roger Lewin 描述的流体步态所必需的解剖适应性。它会走路， 奔跑和跳跃，就像我们今天一样。除此之外，我们还应该增加两个活动：肢体语言和舞蹈。但在我们之前 探索双足行走的音乐含义，我们必须首先解决这种运动形式演变的原因。
We return, therefore, to Homo ergaster at l.8 million years ago, splendidly represented by the so-called Nariokotome boy, as the first fully bipedal hominid. This species possesses the anatomical adaptations necessary to produce the fluid gait that Roger Lewin describes. It could walk, run and jump, just as we can today. And to these we should add two more activities: body language and dance. But before we explore the musical implications of bipedalism, we must first address why this form of locomotion evolved.
两足行走的起源
The origins of bipedalism
人类学家多年来一直在争论两足行走的起源，他们的理论正在逐渐被修正或戏剧性地 随着新证据的出现而被伪造。曾经有人认为，两足行走的出现是为了“解放双手”，因此石头 可以制造人工制品。当南方古猿双足行走的证据是 推回 250 万年前，即第一批石器制造的日期。同样，这个想法 当原始人开始生活在大草原环境中时，双足行走起源于它们，也许是为了让它们能够站着观察捕食者 或猎物在长草的顶部，无法容纳部分两足 Ardipithecus 和 Australopithecines 栖息在树木繁茂的景观中的证据。两足行走的出现是因为男性原始人需要携带 食物 t0 当人类学家认识到 雄性和雌性之间体型差异的程度——性二态性——表明这种配对结合，以及 因此，预配不太可能发生。
Anthropologists have debated the origins of bipedalism for many years, their theories being gradually revised or dramatically falsified as new evidence has appeared. It was once argued that bipedalism arose in order to ‘free the hands’ so that stone artefacts could be manufactured. This hypothesis had to be rejected when the evidence for australopithecine bipedalism was pushed back far beyond 2.5 million years ago, the date at which the first stone tools were made. Similarly, the idea that bipedalism originated when hominids began living in savannah environments, perhaps to allow them to stand and watch for predators or prey over the top of long grass, could not accommodate with the evidence that partially bipedal Ardipithecus and australopithecines inhabited wooded landscapes. The notion that bipedalism arose because male hominids needed to carry foodstuffs t0 the females with whom they had pair-bonded similarly had to be rejected when anthropologists recognized that the extent of differences in body size between males and females – sexual dimorphism – indicated that such pair-bonding, and hence provisioning, is most unlikely to have occurred.
目前，关于两足行走起源的最有说服力的论点是它涉及两个不同的阶段，每个阶段都有其 自身的选择压力，第一个导致南方古猿部分双足行走，第二个导致完全 Homo ergaster 的现代双足行走。
Currently, the most persuasive argument for the origin of bipedalism is that it involved two distinct stages, each with its own selective pressure, the first leading to the partial bipedalism of the australopithecines, and the second to the fully modern bipedalism of Homo ergaster.
关于第一阶段，印第安纳大学的凯文·亨特 （Kevin Hunt） 认为水果可能起了关键作用。7 他对黑猩猩站立和偶尔用两条腿走路的情况进行了详细的研究，发现 他们这样做主要是为了从小树上收获果实;他们用双手保持平衡，采摘水果，慢慢地从一棵树拖到另一棵树。用两条腿站立可以同时站立 手，而双足拖曳避免了不断升高然后降低体重的需要，这提供了 大大节省了能源支出。亨特怀疑南方古猿的行为方式相似，并认为 露西的解剖结构更适合站立而不是行走。他认为，宽阔的骨盆形成了一个稳定的平台，而 弯曲的手指和有力的手臂不应该被看作是用来爬树的，而是用来单手悬挂的。 用两条腿站立，用另一条腿喂食。
As regards the first stage, Kevin Hunt of Indiana University has suggested that fruit may have played a crucial role.7 He made a detailed study of the situations in which chimpanzees stand, and occasionally walk on two legs, and found that they do so principally in order to harvest fruit from small trees; using their hands for balance, they pick fruit and slowly shuffle from tree to tree. Standing on two legs permits both hands to be used, while the bipedal shuffling avoids the need to keep raising and then lowering their body weight, which delivers a major saving in energy expenditure. Hunt suspects that the australopithecines were behaving in a similar fashion, and argues that Lucy’s anatomy was more suited to standing than walking. The broad pelvis, he suggests, made a stable platform, while the curved fingers and powerful arms should be seen as adaptations not for climbing trees but for hanging by one hand while standing on two legs and feeding with the other.
第二阶段 - 向完全现代的两足行走的转变 - 很可能与类似大草原的环境的传播有关 在 200 万年前不久，由于重大的气候变化，在东非。但是，与其被 看到高大的草丛，这可能与减少景观中因增加暴露在阳光下而引起的热应激的需要有关 那里的树木明显较少。8 利物浦约翰摩尔斯大学的彼得·惠勒 （Peter Wheeler） 在一个理论中提出了这一点，该理论被巧妙地概括为“站得高 并保持凉爽”。9
The second stage – the shift to a fully modern bipedalism – is most probably related to the spread of savannah-like environments in East Africa soon after 2 million years ago, owing to major climatic change. But rather than being driven by the need to see across tall grass, it probably relates to the need to reduce heat stress caused by increased exposure to the sun in landscapes that had markedly fewer trees.8 Peter Wheeler of Liverpool John Moores University has proposed this in a theory that is neatly summarized as ‘stand tall and stay cool’.9
热应激是生活在热带草原环境中的所有动物面临的一个问题，主要是因为大脑在以下情况下开始出现故障 比正常温度高 2°C。当直立时，原始人只会吸收头顶上的阳光 和肩膀，而当指关节行走时，它的整个背部都会暴露在外。此外，远离土壤的空气更凉爽 本身，风速明显更高，这两者都会提高身体蒸发的冷却效果。
Heat stress is a problem for all animals living in savannah environments, largely because brains begin to malfunction when raised 2°C above their normal temperature. When standing erect, a hominid would only absorb sunlight on the top of its head and shoulders, whereas when knuckle-walking its whole back would be exposed. Moreover, the air is cooler away from the soil itself, and wind velocities are significantly higher, both of which would improve the cooling effectiveness of bodily evaporation.
通过使用一系列计算机和工程模型，Wheeler 能够通过双足行走来证明这一点，生活在大草原上 原始人将能够显着减少热应激和水的消耗。这可能起到了主要的作用 在向他们开放吃肉的新饮食领域方面的作用，因为这种减少将允许原始人旅行 穿越大草原景观以寻找尸体，可能在一天中 竞争食肉动物 会在阳光下休息。
By using a range of computer and engineering models, Wheeler was able to demonstrate that by walking bipedally, savannah-living hominids would have been able significantly to reduce both heat stress and water consumption. This may have played a major role in opening up to them the new dietary niche of meat-eating, as such reductions would have allowed hominids to travel greater distances across savannah landscapes in search of carcasses, possibly at times of the day when competing carnivores would be resting in the sun.
两足行走的认知和声音影响
Cognitive and vocal implications of bipedalism
虽然人类学家一直对人类智力和语言的进化感兴趣，但这达到了一个特殊的 强度。一系列学术书籍、文章和会议研究了每一个可以想象的方面 关于大脑大小和形状，争论声带的重建，并争论对猿类原始人的影响 “语言”和智力。1996 年出现了最有价值的贡献之一，无论是因为它的结论还是它们的得出方式，因为它着眼于原始人的身体 而不是大脑。
While anthropologists have always been interested in the evolution of human intelligence and language, this reached a particular intensity during the mid-1990s. A succession of academic books, articles and conferences examined every conceivable aspect of brain size and shape, argued about the reconstruction of vocal tracts, and debated the implications for hominids of ape ‘language’ and intelligence. In 1996 came one of the most valuable contributions, both for its conclusions and for the way in which they were derived, because it looked at the hominid body rather than the brain.
伦敦大学学院人类学教授莱斯利·艾洛 （Leslie Aiello） 在提交给 英国科学院和英国皇家学会认为，双足行走的起源对智力的进化具有深远的影响 和语言。10 事实上，Homo ergaster 的大脑比南方古猌大——不仅在绝对值上，而且在相对体型上——可以，她; 争论的，可以用双足行走既需要又能实现的感觉运动控制的新要求来解释。站立或行走 在两条腿上需要持续监测重心并经常招募小群肌肉，并且 更改以更正其位置;腿部的运动必须与手臂、手和躯干的运动相结合 以保持动态平衡。一旦这些手臂和手摆脱了运动角色，它们就可以独立使用 从腿上 – 例如，用于携带、发出信号、投掷或制作工具。因此，双足行走需要更大的 大脑和更复杂的神经系统只是为了获得这种更复杂的感觉运动控制程度曾经为那些进化 原因，那么更大的大脑可能会用于其他任务，包括觅食行为的规划、社交互动 以及最终的语言;Intelligence 可能只不过是 Walk on Two Feet 的衍生产品。
Leslie Aiello, professor of anthropology at University College London, explained in a paper delivered to a joint meeting of the British Academy and the Royal Society that the origin of bipedalism had profound implications for the evolution of intelligence and language.10 The fact that Homo ergaster had a larger brain than the australopithecines – not just in absolute terms but also relative to body size – could, she; argued, be explained by the new demands on sensorimotor control that bipedalism both required and enabled. Standing or walking on two legs requires that the centre of gravity is constantly monitored and small groups of muscles frequently recruited and changed to correct its position; the movement of the legs has to be integrated with that of the arms, hands and trunk in order to maintain a dynamic balance. And once those arms and hands are free from a locomotory role, they can be used independently from the legs – for example, for carrying, signalling, throwing or making tools. Bipedalism requires, therefore, a larger brain and more complex nervous system just to attain this more complex degree of sensorimotor control Once evolved for those reasons, the larger brain might then be used for other tasks, including the planning of foraging behaviour, social interaction and, eventually, language; intelligence may have been no more than a spin-off from walking on two legs.
双足解剖结构对另一个解剖结构的影响会进一步促进复杂发声的演变 身体的一部分。如第 8 章所述，人类喉咙位于喉咙中，比黑猩猩的喉咙低得多， 这样可以产生更广泛的声音。人类学家传统上认为，强选择性 口语的压力将喉部“推”入喉咙，尽管这会造成食物窒息的风险。 但 Aiello 认为，下喉只是两足行走所必需的解剖学适应的结果。因为 脊髓现在必须从下方而不是从后面进入脑壳（如孔的位置所示 Magnum），脊髓和口腔之间的喉部空间较小。这个空间进一步缩小了 随着吃肉程度的增加而出现的原始人的面部和牙列的变化。因此，喉部有 位于喉咙的较低位置，这具有延长声带和增加 它可能产生的声音的多样性。
The evolution of complex vocalization would have been additionally facilitated by the impact of a bipedal anatomy on another part of the body. As described in chapter 8, the human larynx is found much lower in the throat than that of the chimpanzee, and this enables a much wider array of sounds to be produced. Anthropologists traditionally assumed that strong selective pressures for spoken language had ‘pushed’ the larynx into the throat, even though this created a risk of choking on food. But Aiello argued that the low larynx was merely a consequence of the anatomical adaptations necessary for bipedalism. Because the spinal cord now had to enter the braincase from below rather than from behind (as shown by the position of the foramen magnum), there was less space between the spinal cord and the mouth for the larynx. This space had been further reduced by the changes in the hominid face and dentition that arose with a greater degree of meat-eating. Consequently, the larynx had to become positioned lower in the throat, which had the incidental effect of lengthening the vocal tract and increasing the diversity of possible sounds it could produce.
声称这增加了窒息的风险，因此除非有很强的选择性 Aiello 的研究生之一玛格丽特·克莱格 （Margaret Clegg） 证明喉部压力是错误的，她检查了大量数字 的医疗记录，以记录窒息造成的死亡。11 她发现，除了极少数例外，窒息死亡只影响两类人：醉酒的年轻人 因自己的呕吐物窒息而死的成年男性，以及在生理上之前被迫吃固体食物的婴儿 能够做到这一点。
The claim that this increased the risk of Choking, and hence would not have occurred unless there had been strong selective pressure for a low larynx, was shown to be false by Margaret Clegg, one of Aiello’s graduate students, who examined vast numbers of medical records in order to document fatalities from choking.11 She found that, with extraordinarily rare exceptions, death by choking only affects two classes of people: drunken young adult males who choke to death on their own vomit, and infants who are forced to eat solid foods before they are physiologically able to do so.
Aiello 认为，新的双足动物不仅改变了喉部的位置，而且喉部本身的组成也可能发生了变化 解剖学，导致产生的声音不那么刺耳、更悠扬“，而不是南方古猿。的喉部 现代猿类和人类本质上是一个瓣膜，它还包括声带，声带可以关闭以允许 空气积聚，然后打开以产生声音。这个“瓣膜喉”还有一个完全不同的功能——一个 随着运动。闭合喉部后面的气压稳定胸部并为手臂肌肉提供固定的基础 - 这 这就是为什么我们在要用力使用手臂时屏住呼吸，例如在扔球时。胸部稳定真的是 对于使用手臂进行指关节行走或攀爬的灵长类动物很重要。因此，它们具有相对较厚的 软骨喉和声带，产生相当刺耳的发声。现代人的声带， 然而，它们更具有膜质。
Aiello suggested that not only the position but also the make-up of the larynx itself may have been changed by the new bipedal anatomy, resulting in the production of a less harsh, more melodious sound’ than in the australopithecines. The larynx of modern apes and humans is essentially a valve, which also comprises the vocal cords, which can be closed off to allow the air to build up and then opened to create a sound. This ‘valvular larynx’ also has a quite different function – one to do with movement. Air pressure behind a closed larynx stabilizes the chest and provides a fixed basis for the arm muscles – this is why we hold our breath when about to use our arms vigorously, such as when throwing a ball. Chest stabilization is really important for primates who use their arms for knuckle-walking or climbing. As a consequence, they have a relatively thick, cartilaginous larynx and vocal cords, which produce rather harsh-sounding vocalizations. The vocal cords of modern humans, however, are more membranous.
双足行走可能是通过放松对瓣膜喉运动功能的选择压力引起的。 如果是这样，那么通过变得不那么僵硬，Homo ergaster 的声带可能进一步增强了这种双足原始人能够发出的声音的多样性，即使 没有说话或唱歌的选择压力。这些发展开始看起来只不过是进化的意外。
Bipedalism may have caused the change by relaxing the selective pressure on the locomotor function of the valvular larynx. If so, then by becoming less rigid, Homo ergaster’s vocal cords may have further enhanced the diversity of sounds of which this bipedal hominid was capable, even though there were no selective pressures for speaking or singing. These developments begin to look like no more than an accident of evolution.
原始语言：组合还是整体？
Proto-language: compositional or holistic?
前几章和后几章中描述的早期原始人和早期人类的社会复杂性创造了选择性的 加强沟通的压力。这些都是通过我所描述的生理变化实现的，尤其是那些 与两足行走有关，这使得 Homo ergaster 能够产生比他们的直接原始人祖先或现代猿类大得多的发声范围。 将 Homo ergaster 通信系统称为原始语言是相当合理的，尽管不是特别有用。
The social complexity of the early hominids and Early Humans, described in the preceding and following chapters, created selective pressures for enhanced communication. These were realized by the physiological changes I have described, especially those associated with bipedalism, which enabled Homo ergaster to produce a significantly larger array of vocalizations than either their immediate hominid ancestors or modern-day apes. It is quite legitimate, although not particularly helpful, to refer to the Homo ergaster communication system as proto-language.
在我的开篇一章中，我提到了原始语言的两个不同的概念——组合和整体——并且坚定不移 我与后者保持一致。我对猴子和猿猴发声的解释已经部分证明了这种一致性 在第 8 章中，我认为这与 600 万年前猿类和人类的共同祖先相似。这些 是整体调用，并为 Alison 提出的整体原始语言类型提供了合适的进化前体 雷。但它们没有为 Derek Bickerton 提出的“无语法的单词”类型的原始语言提供基础。
In my opening chapter I referred to two differing conceptions of proto-language – compositional and holisitic – and firmly aligned myself with the latter. That alignment has already been partly justified by my interpretations of monkey and ape vocalizations in chapter 8, which I believe to be analogous to those of the common ancestor to apes and humans of 6 million years ago. These are holistic calls and provide a suitable evolutionary precursor for the type of holistic proto-language proposed by Alison Wray. But they provide no foundation for a ‘words without grammar’ type of proto-language as proposed by Derek Bickerton.
他承认，他的原始语言类型将是一种粗糙而现成的表达形式，并且受到 歧义的度量（正如我在第 1 章中指出的那样）。虽然它可能足以传达一些基本观察 关于世界，它不适合 Alison Wray 所说的“其他类型的信息”——那些与 到身体、情感和知觉的操纵。12 例如，它不适合 发展和维护社会关系。正如我们所看到的，社会生活的要求似乎是 早期原始人声音交流进化的主要选择压力。13
He acknowledges that his type of proto-language would have been a rough and ready form of expression and subject to large measures of ambiguity (as I noted in chapter 1). While it may have been adequate for communicating some basic observations about the world, it would have been unsuitable for what Alison Wray describes as ‘the other kinds of messages’ – those relating to physical, emotional and perceptual manipulation.12 It would not, for instance, have been suitable for the type of subtle and sensitive communication that is required for the development and maintenance of social relationships. And as we have seen, the demands of social life appear to have been the principal selective pressure for the evolution of vocal communication in early hominids.13
重要的是要认识到，Homo ergaster 会生活在社会亲密的社区中，其中会有大量的共同经历和 了解个人生活史、社会关系和周围环境。会有相对的 与我们今天的经验相比，对信息交换的要求很小。我们熟悉用语言告诉家人 我们不住在一起的成员、朋友、同事;熟人，有时甚至是完全陌生的人，关于我们自己， 我们的孩子、工作、假期等等。我们有不同类型的专业知识和知识可以分享，其中大多数 我们甚至在一天中的大部分时间里都与我们的伴侣和孩子分开，作为完全不同的社交网络的一部分。我们始终 有新的事情要告诉彼此。Homo ergaster 不会经历这些信息交换的这些需求。如果有的话，选择压力将是有限的 在他们的社会中寻找一种“创造性的语言”，一种可以以作曲方式产生新话语的语言 我们依赖的语言。14
It is important to appreciate that Homo ergaster would have lived in socially intimate communities within which there would have been a great deal of shared experience and knowledge about individual life histories, social relationships and the surrounding environment. There would have been relatively slight demands for information exchange compared with our experience today. We are familiar with using language to tell family members with whom we do not live, friends, colleagues; acquaintances and sometimes even total strangers, about ourselves, our children, work, holidays and so forth. We have different types of expertise and knowledge to share, and the majority of us even spend most of the day apart from our partners and children, as part of quite different social networks. We always have new things to tell each other. Homo ergaster would have experienced none of these demands for information exchange. There would have been limited, if any, selective pressure within their society for a ‘creative language’, one that could generate new utterances in the manner of the compositional language upon which we depend.14
Bickerton 的原始语言版本也）对 Homo ergaster 来说是有问题的，因为目前尚不清楚为什么这样的原始语言在 180 万年前就已经存在，它没有迅速发展成 完全现代的语言——没有语言学家认为后者在 200， 000 年前之后不久就存在于智人之前。如果确实存在简单的规则，例如 Ray Jackendoff 的 'agent-first' 规则（见第 1 章），这将为语法提供明确的前提。15 会不会有将近 200 万年的“没有语法的单词”的原始语言呢？16 如果我们接受这位语言学家最近在爱丁堡大学进行的模拟研究的结果，那可能不是 Simon Kirby 和他的同事（在第 16 章中回顾）。他们已经表明，一定程度的语法复杂性是自发的 在少数几代人的文化传播过程中出现。因此，如果“词”存在于 Homo ergaster 的话语中，那么我们当然应该期待语法复杂的语言的出现，早在 Homo sapiens 出现之前。
Bickerton’s version of proto-language is also) problematic for Homo ergaster because it remains unclear why, if such proto-langauge had existed at 1.8 million years ago, it did not rapidly develop into fully modern language – and no linguist is arguing that the latter existed prior to Homo sapiens soon after 200, 000 years ago. This is a particularly serious problem if simple rules did exist, such as Ray Jackendoff’s ‘agent-first’ rule (see chapter 1), which would have provided clear precursors to grammar.15 Could there have been almost two million years of a ‘words without grammar’ proto-language?16 Probably not, if we accept the results of simulation studies recently conducted at the University of Edinburgh by the linguist Simon Kirby and his colleagues (reviewed in chapter 16). They have shown that some degree of grammatical complexity spontaneously emerges from the process of cultural transmission within a small number of generations. So if ‘words’ had existed within the utterances of Homo ergaster, then we should certainly expect the appearance of grammatically complex language long before the appearance of Homo sapiens.
因此，Homo ergaster 的原始语言似乎最有可能由整体话语组成，每个话语都有自己的含义，但缺乏任何有意义的子单位（即单词）， 就像艾莉森·雷 （Alison Wray） 所提议的那样。为了说明这些话语，Wray 提供了一些假设性的例子。例如， 一串音节，如 Tebima 可能意味着 “把那个给她”，另一个音节，如 mutapi 可能意味着 “把那个给我”。无论是在哪种情况下，还是在人们可能想象的任何其他整体话语中，都不会 单个音节映射到短语含义中的任何特定实体或动作。最接近的话语类型 我们今天有的是像 “abracadabra” 这样的，可以翻译为 “I hearby invoke magic”。雷设想原始人 使用这种整体话语主要用于操纵其他个体，如命令、威胁、问候和 请求。
It appears most likely, therefore, that the proto-language of Homo ergaster consisted of holistic utterances, each with its own meaning but lacking any meaningful sub-units (that is to say, words), much as Alison Wray has proposed. To illustrate such utterances, Wray provides some hypothetical examples. For instance, a string of syllables such as tebima might have meant ‘give that to her’, and another such as mutapi might have meant ‘give that to me’. In neither case, nor in any other holistic utterance that one might imagine, would the individual syllables map onto any of the specific entities or actions in the meaning of the phrase. The closest types of utterance we have today are those like ‘abracadabra’, which might be translated as ‘I hearby invoke magic’. Wray envisages hominids using such holistic utterances principally for the manipulation of other individuals, as commands, threats, greetings and requests.
她的原始语言概念受到了 Derek Bickerton 和语言学家 Maggie Tallerman 的广泛批评。 达勒姆大学。17 他们的一个论点更多地取决于原则问题，而不是对证据的评估：他们认为，因为 这种类型的整体原始语言显然与类似猿的发声处于进化连续性，那么它只是 不能成为现代语言的先驱。这是基于他们对灵长类动物叫声和人类叫声之间不连续性的信念 语言。然而，这种观点源于对灵长类动物叫声性质的误解。18 正如研究长尾蜥警报的人类学家理查德·赛法斯（Richard Seyfarth）最近解释的那样，“许多研究......公文 人类语言和灵长类动物声音交流之间行为、感知、认知和神经生理学的连续性”。19
Her notion of proto-language has come under extensive criticism from Derek Bickerton and Maggie Tallerman, a linguist from the University of Durham.17 One of their arguments depends more on a point of principle than on evaluation of the evidence: they argue that because a holistic proto-language of this type is evidently on an evolutionary continuity with ape-like vocalizations, then it simply cannot be the precursor to modern language. This is based on their belief in a discontinuity between primate calls and human language. It is, however, a view that derives from misconceptions about the nature of primate calls.18 As Richard Seyfarth, the anthropologist who studied the vervet alarm calls, has recently explained, ‘many studies … document continuities in behaviour, perception, cognition and neurophysiology between human speech and primate vocal communication’.19
另一个批评是，整体话语太短、太模糊、数量太少 构成了一种可行的原始语言。这种批评被削弱了，如果不是完全消除的话，部分原因是对自然的欣赏 Homo ergaster 社会，对信息交换的要求相对较小，部分是通过阐述 Wray 的原始语言概念 通过暗示 Homo ergaster 的整体“Hmmmm”话语既像音乐，也像语言。我们应该设想每个整体话语都是由一个 更可能是我在上一章中描述的发声手势的一串。这些本来可以一起表示的 用手或手臂的手势，也许还有整个肢体语言，我将在下面描述。此外，特定级别的 音高、速度、旋律、响度、重复和节奏将被用来为这些 “嗯 ”话语中的每一个创造特定的情感效果。递归，嵌入 一个短语在另一个短语中，为了表达和诱导情感，可能变得特别重要 最大效果。本章的关键论点是，此类话语的多模态和音乐方面都会 都因两足行走的进化而大大增强。
Another criticism has been that holistic utterances would have been too short, too ambiguous and too few in number to have constituted a feasible proto-language. This criticism is weakened, if not entirely removed, partly by appreciating the nature of Homo ergaster society, with its relatively slight demands for information exchange, and partly by elaborating Wray’s notion of proto-language by suggesting that the holistic ‘Hmmmm’ utterances of Homo ergaster would have been as much music-like as language-like. We should envisage each holistic utterance as being made from one, or more likely a string, of the vocal gestures that I described in the previous chapter. These would have been expressed in conjunction with hand or arm gestures and perhaps body language as a whole, as I will describe below. In addition, particular levels of pitch, tempo, melody, loudness, repetition and rhythm would have been used to create particular emotional effects for each of these ‘Hmmmm’ utterances. Recursion, the embedding of one phrase within another, is likely to have become particularly important in order to express and induce emotions with maximum effect. The key argument of this chapter is that both the multi-modal and the musical aspects of such utterances would have been greatly enhanced by the evolution of bipedalism.
两足行走的音乐意义
The musical implications of bipedalism
当莱斯利·艾洛 （Leslie Aiello） 写到两足行走对语言进化的影响时，我怀疑她是否在做出任何区分 在人类进化的这个阶段，在说话和唱歌之间——她经常强调原始人发声的音乐品质。 喉部的新位置和形式使发声范围和多样性的增加成为可能，并且 牙列和面部解剖学，肯定会增强情绪表达和诱导的能力 他人的情绪。但是，双足行走的音乐含义远不止增加声音的范围 那本来可以做到的。
When Leslie Aiello wrote about the impact of bipedalism on the evolution of language I doubt if she was making any differentiation between speaking and singing at this stage in human evolution – she often stresses the musical qualities of hominid vocalizations. The increased range and diversity of vocalizations made possible by the new position and form of the larynx, and changes in dentition and facial anatomy in general, would certainly have enhanced the capacity for emotional expression and the inducing of emotions in others. But the musical implications of bipedalism go much further than simply increasing the range of sounds that could have been made.
节奏，有时被描述为音乐最核心的特征，对于高效的步行、跑步以及 我们奇特的两足身体的任何复杂协调。没有节奏，我们就无法有效地使用这些：同样重要 随着膝关节和狭窄臀部的进化，双足行走需要心理机制的进化来维持 肌肉群的协调。
Rhythm, sometimes described as the most central feature of music, is essential to efficient walking, running and, indeed, any complex coordination of our peculiar bipedal bodies. Without rhythm we couldn’t use these effectively: just as important as the evolution of knee joints and narrow hips, bipedalism required the evolution of mental mechanisms to maintain the rhythmic coordination of muscle groups.
这种心理机制的重要性从那些因为认知病态而失去它们的人身上变得很明显 或者从出生起就患有精神残疾并且总是难以实现流畅的身体运动的人。当他们缺乏 通过提供外部节律机制、行走的显着改善和 发生其他身体运动。
The significance of such mental mechanisms becomes apparent from people who have either lost them because of cognitive pathologies or who have suffered mental disability from birth and always struggled to achieve fluid physical movements. When their lack of an internal rhythm mechanism is compensated for by provision of an external rhythm, marked improvements in walking and other physical movements occur.
音乐治疗师多丽塔·伯杰（Dorita S. Berger）在她对八岁自闭症非语言患者阿朗佐（Alonzo）的描述中举了一个突出的例子 男孩：
The music therapist Dorita S. Berger gives a striking example in her account of Alonzo, an eight-year-old autistic non-verbal boy:
[Alonzo] 在钢琴演奏时漫无目的地在音乐治疗教室里跑来跑去，我唱了一首描述和反思的歌 他的行为回到了他自己身上。阿朗佐站在大教室的尽头，没有靠近钢琴。偶尔 他会停下来，把目光投向房间对面的钢琴，但他的身体行为仍然混乱、疏远、疏远 的控制。
我放弃了钢琴和歌曲，而是选择了康茄鼓演奏的简单、纯粹的节奏。没有唱歌;不 旋律;只有节奏。刹那间，阿朗佐的奔跑停了下来，他的身心都凝固在了专注的状态中。他看了看 房间对面的我和鼓。突然间，他停了下来，开始以一种有序的、有节奏的、迈着步伐的姿态，向声音走去。他的脚步突出了 当他靠近鼓时，康茄舞的节拍跳动。20
[Alonzo] ran around the music therapy classroom aimlessly while the piano played and I sang a song describing and reflecting his behaviour back to him. Alonzo remained at the far end of the large classroom and did not approach the piano. Occasionally, he would stop and cast glances across the room toward the piano, but his physical behaviour remained chaotic, distant, out of control.
Abandoning the piano and song, I opted instead for the simplicity of pure rhythm played on the conga drum. No singing; no melody; nothing but rhythm. In an instant, Alonzo’s running halted, his body and mind frozen in a state of attention. He looked across the room at me and the drum. As suddenly as he had stopped he began moving in an organized, rhythmic, stepping demeanour, toward the sound. His steps accented the pulse of the conga’s beat as he neared the drum.20
虽然这些轶事叙述具有挑衅性，但它们的科学价值值得怀疑，因为它们依赖于主观解释 的事件。幸运的是，我们已经进行了十多年精心进行的科学研究，探索了这种关系 由神经科学家、生物医学研究中心主任迈克尔·陶特 （Michael Thaut） 进行的节奏和运动之间 在科罗拉多州立大学，他本人也是一位多才多艺的音乐家。21
While such anecdotal accounts are provocative, their scientific value is questionable because they rely on a subjective interpretation of events. Fortunately, we have more than a decade of meticulously conducted scientific studies exploring the relationship between rhythm and movement conducted by the neuroscientist Michael Thaut, director of the Center for Biomedical Research at Colorado State University and himself an accomplished musician.21
Thaut 的主要研究之一是针对帕金森病患者。这是基底神经节的损害 大脑，除其他影响外，它还会干扰运动控制的时间方面。Thaut 探讨了 rhythmic 的影响 帕金森病患者的听觉刺激 （RAS），只需在要求他们走路时播放常规节拍 平坦和倾斜的表面。他有足够的人将他们分成三组。一个人每天收到 30 分钟 与 RAS 进行为期三周的“步态训练”课程;另一名接受了相同的培训课程但没有 RAS;第三组 根本没有接受过任何培训。他发现，只有在 RAS 训练的组中，步行的显着改善才会出现。中 这些患者的步幅增加了 25%，步幅增加了 12%，步频 10%。Thaut 扩展了他的研究，发现在没有任何进一步训练的情况下，步态的改善逐渐下降 消失了，并且在 5 周后不再被察觉。
One of Thaut’s key studies has been with people who suffer from Parkinson’s disease. This is an impairment of the basal ganglia of the brain, which, among other effects, disturbs the temporal aspect of motor control. Thaut explored the impact of rhythmic auditory stimulation (RAS) on Parkinson’s sufferers, simply by playing them a regular beat as they were asked to walk on both flat and sloping surfaces. He had sufficient numbers of people to divide them into three groups. One received a daily thirty-minute ‘gait-training’ session with RAS for three weeks; another received the same training session but without RAS; the third group received no training at all. He found that significant improvements in walking emerged only in the RAS-trained group. Among these patients, their stride velocity increased by 25 per cent, their stride length by 12 per cent, and their step cadence by 10 per cent. Thaut extended his study to find that without any further training the improvements in gait gradually fell away and were no longer perceptible after five weeks.
当以百分比表示时，通过提供有规律的心跳实现的步行改善可能看起来不是很 令人 印象 深刻。但是，当人们观看 Thaut 在工作中的视频时，步态的改善真的很惊人——从繁琐的、 将拖曳运动达到相当出乎意料的肌肉控制和流畅运动的程度。
When expressed as percentages, these improvements in walking achieved by the provision of a regular beat may not appear very impressive. But when one watches a video of Thaut at work the improvements in gait are really striking – a shift from cumbersome, shuffling movements to a quite unexpected degree of muscle control and fluid movement.
事实上，“听”本身可能并不是必需的。在另一组实验中，Thaut 要求他的受试者点击他们的 手指随着节拍有节奏。他发现，当他改变速度时，他们也会改变手指敲击的速度。 这并不完全令人惊讶——我们都能够或多或少地匹配节奏。但 Thaut 发现 如果他改变节拍的量低于有意识感知的阈值，受试者仍然会改变 他们按照它敲打手指——尽管他们完全不知道已经发生了任何变化。
In fact, ‘hearing’ itself may not be necessary. In a further set of experiments, Thaut required his subjects to tap their fingers in rhythm with a beat. He found that as he changed the tempo, so they, too, changed the tempo of their finger-tapping. This is not altogether surprising – we are all able to match a rhythm to a greater or lesser extent. But Thaut discovered that if he altered the beat by an amount that was below the threshold of conscious perception, the subjects still altered their finger-beating in accordance with it – even though they were quite unaware that any change had occurred.
音乐治疗师可以利用节奏对运动的影响，而不必担心确切的原因：如果它可以帮助那些 精神和身体的约束，然后使用它。然而，那些关心进化问题的人需要理解为什么会出现这种影响。不幸 科学家们距离理解听觉处理和运动控制之间的联系还有一段路要走。Thaut 已经解释过 有一些基本的生理数据表明神经系统中存在听觉运动通路 通过它，声音对脊髓运动神经元活动产生直接影响。“否则怎么可能呢？” 有人可能会问， 当我们都知道听音乐对我们自己的动作的影响时，就像我们不假思索地开始 敲打我们的脚或摇晃我们的身体。Thaut 解释说，他和其他科学家仍然不确定特定的神经结构是否 存在负责节律性运动同步，或者听觉系统中的神经兴奋模式是否 投影到电机系统电路中。
Music therapists can use the impact of rhythm on movement without worrying about the precise cause: if it helps those with mental and physical constraints, then use it. Those concerned with evolutionary issues, however, need to understand why such effects arise. Unfortunately, scientists are still some way away from understanding the link between auditory processing and motor control. Thaut has explained that there is some basic physiological data that indicates the presence of an auditory-motor pathway in the nervous system by means of which sound exerts a direct effect on spinal motor neuron activity. ‘How could it be otherwise?’ one might ask, when we all know the effect that listening to music can have on our own movements, as when without any thought we begin to tap our feet or sway our bodies. Thaut explains that he and other scientists remain unsure whether specific neural structures exist that are responsible for rhythmic motor synchronization, or whether neural excitation patterns in the auditory system are projected into the motor system circuits.
希望随着脑扫描技术的进一步发展和应用，我们将有更好的理解 我们的听觉和运动系统是如何联系在一起的。但根据 Thaut 的研究，以及对节奏影响的描述 对于像 Alonzo 这样的孩子，我们可以得出结论，高效的双足行走需要一个能够提供时间控制的大脑 到肌肉群的复杂协调。这种认知能力的丧失可以通过使用 外部节拍。
One hopes that with the further development and application of brain scanning technology we will gain a better understanding of how our auditory and motor systems are linked together. But following Thaut’s studies, and accounts of the impact of rhythm on children such as Alonzo, we can conclude that efficient bipedalism requires a brain that is able to supply temporal control to the complex coordination of muscle groups. The loss of this cognitive ability can be partly compensated for by the use of an external beat.
关键是，随着我们的祖先进化成两足人类，他们与生俱来的音乐能力也会进化 – 他们有节奏。人们可以很容易地想象一个进化的雪球，作为认知机制的选择 计时改善了双足行走能力，从而能够进行进一步的体育活动，而这反过来又需要 为了他们的高效执行而计时。其中的关键是手的使用，现在已经从他们的运动中解放出来 功能。它们本来是用来锤打的：骨头把它们劈开，里面的骨髓，坚果来提取果仁， 和结节以分离薄片。
The key point is that as our ancestors evolved into bipedal humans so, too, would their inherent musical abilities evolve – they got rhythm. One can easily imagine an evolutionary snowball occurring as the selection of cognitive mechanisms for time-keeping improved bipedalism, which led to the ability to engage in further physical activities that in turn required timekeeping for their efficient execution. Key among these would have been the use of the hands, now freed from their locomotory function. They would have been used for hammering: bones to crack them open for the marrow inside, nuts to extract the kernels, and stone nodules to detach flakes.
音乐和动作
Music and motion
在这里，反思一下音乐和动作之间经常出现的联系是有用的。22 在西方传统中，音乐是用与运动有关的词来描述的，例如 lento、andante、corrente（慢、走、 running），而有些人则认为表演者和听众都必须想象内心的运动，才能充分欣赏一首作品 音乐。正如我在第 2 章中提到的，杰出的音乐心理学家约翰·斯洛博达 （John Sloboda） 认为音乐是体现 运动中的物理世界。
It is useful to reflect here on the frequent association that is drawn between music and motion.22 In the Western tradition, music is described by words relating to movement, such as lento, andante, corrente (slow, walking, running), while some argue that both performer and listener must imagine inner movement in order fully to appreciate a piece of music. As I mentioned in chapter 2, John Sloboda, the distinguished music psychologist, argues that music is the embodiment of the physical world in motion.
斯德哥尔摩皇家技术、言语、音乐和听力研究所的音乐学家约翰·桑德伯格 （Johan Sundberg） 承担了 证实音乐与运动关联的实验研究。23 在其中一篇论文中，他发现人们停止跑步时的减速模式与 随着音乐作品的结束，速度的变化，在巴洛克音乐的录音中使用 Ritardandi 作为他的样本。
Johan Sundberg, a musicologist based at the Royal Institute of Technology, Speech, Music and Hearing in Stockholm, has undertaken experimental studies to substantiate the music-movement association.23 In one of these, he found strong similarities between the pattern of deceleration when people are stopping running and the changes in tempo as pieces of music are coming to an end, using the ritardandi in recordings of baroque music for his sample.
桑德伯格并没有推测为什么音乐和运动之间的这种联系应该存在。它似乎在直觉上是合理的， 然而，它直接反映了伴随两足动物进化的人类流动性的变化如何具有根本性的 对人类音乐能力进化的影响。事实上，正是在这方面，夹带现象 – 身体与音乐的自动运动 – 出现了。对黑猩猩的实验工作似乎是必不可少的，因为根据 这个假设，他们缺乏完全的双足行走应该意味着他们也缺乏对音乐的夹带现象。
Sundberg does not speculate on why this association between music and motion should exist. It appears intuitively plausible, however, that it directly reflects how the changes in human mobility that accompanied the evolution of bipedalism had a fundamental impact on the evolution of human musical abilities. It may, indeed, be in this connection that the phenomenon of entrainment – the automatic movement of body to music – arose. Experimental work with chimpanzees seems essential since, according to this hypothesis, their lack of full bipedalism should mean that they also lack the phenomenon of entrainment to music.
另一个问题显然与音乐和动作之间的关系有关，即情感。我将再次推迟 归功于民族音乐学家约翰·布莱金 （John Blacking）。他认识到音乐和身体运动之间非常亲密的联系，以至于 他认为，所有的音乐都是从“身体的搅动”开始的，而且“与身体的感觉可能和任何人一样接近 永远都能与另一个人产生共鸣”。因此，通过进入“音乐的身体运动”，人们可以非常地感受到它 几乎就像作曲家的感觉一样。24 这很自然地导致了舞蹈现象。为了解决这个问题，我们必须简要地回到双足行走的演变 本身。
Another issue is evidently tied up with the relationship between music and movement, that of emotion. Once again I will defer to the ethnomusicologist John Blacking. He recognized the very intimate link between music and body movement, so much so that he suggested that all music begins ‘as a stirring of the body’ and that ‘to feel with the body is probably as close as anyone can ever get to resonating with another person’. So by getting into the ‘body movement of the music’, one can feel it very nearly as the composer felt it.24 This leads on quite naturally to the phenomenon of dance. To address that, we must briefly return to the evolution of bipedalism itself.
走路、跑步还是跳舞？
Walking, running or dancing?
2004 年 11 月，我们在 2004 年 11 月发表的一篇论文对 著名的科学期刊 Nature.25 来自犹他大学和哈佛大学的人类学家丹尼斯·布兰布尔（Dennis Bramble）和丹尼尔·利伯曼（Daniel Lieberman）认为，跑步，特别是 对于人体解剖学的进化来说，“耐力跑”可能比步行重要得多。人类的能力 长跑在灵长类动物中是独一无二的;而且，当考虑到体型时，人类可以维持跑步速度 可与狗和小马等四足动物的小跑相媲美。
Our understanding of how bipedalism and human anatomy evolved was given a jolt in November of 2004 by a publication in the prestigious science journal Nature.25 The anthropologists Dennis Bramble and Daniel Lieberman, from Utah and Harvard Universities, argued that running, and specifically ‘endurance running’, may have been far more important for the evolution of human anatomy than walking. The human ability to run long distances is unique among primates; and, when allowance is made for body size, humans can sustain running speeds that are comparable to the trotting of quadrupeds such as dogs and ponies.
我们腿上长而弹簧状的肌腱，尤其是跟腱，对我们的行走影响很小 能力，但对我们的跑步能力至关重要，这使得这 50% 的效率比其他情况高出 50%。 我们脚的纵弓也有同样的效果，我们相对较长的腿、紧凑的脚和小脚趾也是如此。也 我们下肢的关节，尤其是膝盖的关节，比我们简单地进化时所预期的表面积要大 用两条腿走路;这种关节特别适合消散跑步产生的高冲击力。
The long, spring-like tendons that we have in our legs, most notably the Achilles tendon, have little impact on our walking ability but are vital to our capacity for running, making this 50 per cent more efficient than would otherwise be the case. The longitudinal arches of our feet have the same effect, as do our relatively long legs, compact feet and small toes. Also, the joints of our lower limbs, especially the knee, have larger surface areas than would be expected if we had evolved simply to walk on two legs; such joints are particularly well suited for dissipating the high impacts that arise from running.
另一种可能适用于跑步的解剖学适应是最引人注目但被进化忽视的方面之一 我们的解剖学大屁股;人类的后背比任何人都大得多！其他灵长类动物。底部是一块肌肉，臀大肌， 它在行走中的作用有限，但对跑步至关重要。它的功能之一是提供平衡，因为我们的躯干 当我们跑步时，有向前倾斜的倾向。我们的长腰和宽肩也起着稳定鞋面的作用 身体的一部分，单独行走不需要。
Another anatomical adaptation that may be for running is one of the most noticeable but evolutionarily neglected aspects of our anatomy big bottoms; humans have much larger behinds than any! other primate. The bottom is a muscle, the gluteus maximus, which plays a limited role in walking but is essential for running. One of its functions is to provide balance, as our torsos have a tendency to pitch forward when we run. Our long waists and broad shoulders also play a role in stabilizing the upper part of the body to an extent that walking alone does not require.
当这套解剖学特征与我们减少体温的适应措施相结合时，特别是我们的汗腺， 体毛最少，并且在剧烈活动时倾向于通过嘴呼吸，人体似乎已经适应了 因为 ranning 和走路一样多。这些适应大多存在于 Homo ergaster 中，因此 Bramble 和 Lieberman 认为跑步对于与食腐野狗竞争可能是必不可少的 和非洲大草原上的鬣狗。
When this suite of anatomical features is combined with our adaptations for reducing body heat, notably our sweat glands, minimal body hair, and the tendency to breathe through the mouth during strenuous activity, the human body appears to be adapted for ranning as much as for walking. Most of these adaptations were present in Homo ergaster, leading Bramble and Lieberman to suggest that running might have been essential for competing with scavenging wild dogs and hyenas on the African savannah.
当然，步行和跑步并不是人类参与的唯一体育活动。我们还攀爬、跳跃、跳跃和 …跳舞。难道我们腿上的弹簧、长腰、大屁股和小脚都不是被选中的 走路也不跑步，而是用来旋转、跳跃、旋转，甚至可能用于在下面表演蔓藤花纹或 echappe 非洲的太阳？26 可能不是。但这些肯定都是通过 Homo ergaster 的双足解剖结构实现的——这远远超出了仅仅用两条腿行走的要求。
Walking and running are not, of course, the only physical activities in which humans engage. We also climb, jump!, skip and … dance. Could it be that the springs within our legs, our long waists, big bottoms and small feet were all selected for neither walking nor running but for twirling, leaping, pirouetting, and perhaps even for performing an arabesque or an echappe beneath the African sun?26 Probably not. But these would certainly have all been made possible by the bipedal anatomy of Homo ergaster – which goes far beyond what is required simply for walking on two legs.
手势、肢体语言和舞蹈
Gesture, body language and dance
新的运动控制程度、躯干和手臂与腿部的独立性，以及内部和无意识的计时能力， 所有这些都会极大地增强 Homo ergaster 中手势和肢体语言的潜力，极大地扩展了整体交流的现有潜力。这将为发声增加一个无价的 表达和诱导情绪以及操纵行为的手段。鉴于原始人复杂的社会生活，那些 在手势和肢体语言方面最有效，这将具有社交和生殖优势——就像那些一样 谁在声音交流方面最有效。
The new degrees of motor control, independence of torso and arms from legs, and internal and unconscious time-keeping abilities, would all have dramatically enhanced the potential for gesture and body language in Homo ergaster, hugely expanding the existing potential for holistic communication. This would have added to vocalization an invaluable means of expressing and inducing emotions, and manipulating behaviour. Given the complex social life of hominids, those who were most effective at gesture and body language would have been at a social and reproductive advantage – just as were those who were most effective at vocal communication.
现代人类口语中伴随的自发手势与文字完全不同，因为它们不是由文字组成的 使用语法来创建额外的含义级别。在这方面，它们是整体的，就像乐句是整体的一样。 与现代人类使用的有意象征性手势（例如代表胜利的 V 或竖起大拇指的手势）完全不同。这些有意的姿态是象征性的，没有理由将它们归咎于物种 在 Homo sapiens 之前。
The spontaneous gestures that accompany the spoken language of modern humans are quite unlike words because they are not composed with a grammar to create an additional level of meaning. In this regard they are holistic, just as a musical phrase is holistic, and are quite different from the intentional symbolic gestures that modern human uses, such as the V for victory or thumbs-up sign. These intentional gestures are symbolic, and there are no grounds for attributing them to species prior to Homo sapiens.
如上所述，现代人使用的大多数自发手势都是标志性的，因为它们直接 代表任何口头表达的东西，我强烈怀疑这些被 Homo ergaster 和后来的原始人作为 “Hmmmm” 的中心元素所采用。所以，如果我要描述一个大的东西，我的手势最 可能包括将我的手放在一起，然后逐渐将它们分开;而当将某物描述为小 我可能会逐渐将一只手的手指和拇指并拢，直到它们几乎接触。27
As mentioned above, the majority of spontaneous gestures used by modern humans are iconic, in the sense that they directly represent whatever is being verbally expressed, and I strongly suspect that these were adopted by Homo ergaster and later hominids as a central element of ‘Hmmmm’. So, if I were describing something that is big, my gesture would most likely involve placing my hands together and then gradually moving them apart; whereas when describing something as small I might gradually move the finger and thumb of one hand together until they are almost touching.27
曼彻斯特大学（Manchester University）的心理学家杰弗里·贝蒂（Geoffrey Beattie）对人类自发的手势进行了多项研究 对于理解语言和音乐之间的进化关系具有重要意义，并且对 '嗯'的性质。一个引人注目的发现是，每个人似乎都使用一套类似的自发手势，无论 他们说什么语言。28 Beattie 已经证实，手势对口语起着补充作用，而不仅仅是派生或 补充的。因此，手势不仅仅是为了帮助说话者从他或她的心理词典中检索单词;他们 提供不能单独从口语中得出的信息。29 Beattie 的实验工作表明，手势对于传达有关速度的信息尤为重要 和移动方向，关于人和物体的相对位置，以及关于人和物体的相对大小。
Geoffrey Beattie, a psychologist at Manchester University, has undertaken several studies of the spontaneous human gestures that are significant for understanding the evolutionary relationship between language and music, and are informative about the nature of ‘Hmmmm’. One striking finding is that everyone appears to use a similar suite of spontaneous gestures, irrespective of what language they speak.28 Beattie has confirmed that gestures play a complementary role to spoken utterances, rather than being merely derivative or supplementary. So gestures are not used simply to help the speaker retrieve words from his or her mental dictionary; they provide information that cannot be derived from the spoken utterance alone.29 Beattie’s experimental work indicates that gestures are particularly important for conveying information about the speed and direction of movement, about the relative position of people and objects, and about the relative size of people and objects.
Beattie 的工作证实了手势在人类交流中的关键作用。这个角色可能最好地表达在 大卫·麦克尼尔 （David McNeill） 的话，他在 1992 年出版的《手与心》一书开创了手势可以揭示思想的概念。30 麦克尼尔解释说，“话语有两面，其中只有一面是言语;另一个是意象、动作和视觉空间。 按照传统，排除手势方面，就等于忽略了大脑中传出的一半信息。31 因此，身体运动对语言和音乐来说似乎同样重要。
Beattie’s work has confirmed the critical role of gesture in human communication. This role is perhaps best expressed in the words of David McNeill, whose 1992 book, Hand and Mind, pioneered the notion that gesture can reveal thought.30 McNeill explained that ‘Utterances possess two sides, only one of which is speech; the other is imagery, actional and visuo-spatial. To exclude the gestural side, as has been traditional, is tantamount to ignoring half of the message out of the brain.’31 Thus body movement appears to be as crucial to language as it is to music.
尽管手势通常伴随着语音，但它们可以独立于语音使用，无论是自发的还是故意的 时尚。事实上，据说 65% 的人类交流是通过身体而不是口头语言进行的。 我们大多数时候都是以这种方式无意识地交流的，以及关于阅读的流行书籍和电视节目 肢体语言通常既有趣又信息丰富，涉及我们不知不觉中告诉他人多少 我们内心深处的想法和感受。32 正如我们经常不知道我们发出的信号一样，我们很少体会我们如何根据别人的手势和姿态来评判他们，“而不是他们说了什么”。因此，当我们对某人的不可信感到预感时， 或者他们希望发展更亲密的关系，这很可能来自于对他们的 身体语言。
Although gestures often accompany speech, they can be used independently of speech, in either a spontaneous or a deliberate fashion. Indeed, it has been said that 65 per cent of human communication occurs through body rather than spoken language. We communicate in this manner quite unconsciously most of the time, and the popular books and TV programmes about reading body language are often both quite entertaining and informative on the subject of how much we unknowingly tell others about our innermost thoughts and feelings.32 Just as we are often unaware of the signals we are giving out, we rarely appreciate how we base our judgements about other people on their gestures and postures ‘rather than on what they say. Hence, when we get a hunch about somebody’s untrustworthiness, or that they wish to develop a closer relationship, this is most likely to have come from an unconscious reading of their body language.
今天肢体语言的几个元素既具有普遍元素，也具有文化元素。我们都有一种不知不觉的亲密感 我们周围的身体空间，我们只允许我们的家人和最亲密的朋友进入。如果有陌生人进入那个空间，我们会 体验心率加快、肾上腺素涌入血液和紧缩的生理反应 的肌肉，所有这些都是为潜在的“战斗或逃跑”情况做准备。33
Several elements of body language today have both a universal and a cultural element. We all have an unconsciously intimate body space around us, which we only allow our family and closest friends to enter. Should a stranger enter that space, we experience the physiological responses of increased heart rate, adrenalin pouring into the bloodstream, and the tightening of muscles, all of which are preparations for a potential ‘fight or flight’ situation.33
正如我们每个人都有一个无意识定义的私密区域一样，我们周围也有个人、社交和公共区域 在更远的距离内，我们对不同类型的人在场感到自在——朋友、工作熟人、 陌生人。谁被“允许”进入每个空间可能取决于其他人在观看：同事可能会保持一定距离 在办公室，但私下里欢迎进入个人甚至私密区域。
Just as each of us has an unconsciously defined intimate zone, we also have personal, social and public zones around us, each at a greater distance, within which we feel comfortable about different types of people being present – friends, work acquaintances, strangers. Who is ‘allowed’ into each space can depend upon who else is watching: a work colleague may be kept at distance in the office but welcomed into the personal or even intimate zone in private.
就像我们在第 7 章中讨论的面部表情一样，肢体语言是可以伪造的。确实，了解身体 语言并用它来欺骗是演员艺术的核心。34 政客也经常尝试这种欺骗，尽管基于生理学的“微手势”，例如扩张 的瞳孔，可能会送人。作为一个广义的概括，很少有人会不同意我们非常不善于有意识地参加 到今天使用肢体语言。我怀疑这对我们的非语言祖先来说是完全不同的。
Just like the facial expressions that we considered in chapter 7, body language can be faked. Indeed, learning about body language and using it to deceive is central to the actor’s art.34 Politicians also frequently attempt such deception, although the physiologically based ‘micro-gestures’, such as dilation of the pupils, may give them away. As a broad generalization, few would disagree that we are very poor at consciously attending to and using body language today. I suspect that this was quite different for our nonlinguistic ancestors.
我上面给出的肢体语言的例子都是众所周知的，并且辅以姿势的微妙变化 以及不容易分类的手势。但它们在现代人类交流中的作用不应被忽视。鲁道夫 拉班也许是 20 世纪最有影响力的作家和人类运动思想家，他在 撰写了他的开创性著作 The Mastery of Movement（1950 年）。他在那里解释说：“身体的惊人结构和它可以做出的惊人动作是其中的一部分 存在的最大奇迹。每个运动阶段，每一次重量的微小转移，任何部分的每一个手势 揭示了我们内心生活的一些特征。35
The examples of body language I have given above are all well known, and are complemented by subtle variations of posture and gesture that cannot be easily categorized. But their role in modern human communication should not be neglected. Rudolf Laban, perhaps the most influential writer and thinker about human movement in the twentieth century, understood this when writing his seminal work, The Mastery of Movement (1950). There he explained: ‘The astonishing structure of the body and the amazing actions it can perform are some of the greatest miracles of existence. Each phase of movement, every small transference of weight, every single gesture of any part of the body reveals some feature of our inner life.’35
肢体语言的真正意义也许可以通过认识到，虽然说话是间歇性的 活动 – 据估计，普通人每天说话的时间不超过 12 分钟36 – 我们的肢体语言是一种持续的交流形式。Colwyn Trevarthen，爱丁堡大学心理学名誉教授 大学认为，欣赏人体运动的节奏与和谐性质对于理解人类音乐的起源至关重要。他曾经将音乐描述为“可听见的手势” 并解释说：
The true significance of body language can perhaps be appreciated by recognizing that whereas speaking is an intermittent activity – it has been estimated that the average person talks for no more than twelve minutes a day36 – our body language is a continuous form of communication. Colwyn Trevarthen, emeritus professor of psychology at Edinburgh University, argues that appreciating the rhythmic and harmonious nature of human body movement is critical to understanding the origins of human music. He once described music as being no more than ‘audible gesture’ and has explained that:
如果我们观察人们做他们的日常工作，独自工作，在人群中混在一起聊天，或者谈判和 在一项集体任务中合作，我们看到，虽然人体是用两条腿走到内鼓的，但在 同时，它错综复杂地杂耍臀部、肩膀和头部，就像踏脚上方的单独移动部件的塔一样。 走路时，我们自由地转身和扭动，眼睛向左和向右跳跃地瞥一眼，伸展挥舞的四肢，做出复杂的手势 的手，说话，都是以流畅的节奏协调的短语。这个运动具有多种半独立的冲动， 一种多节奏协调的潜力，肯定比任何其他物种都更丰富，邀请诙谐的迭代 和切分音。37 元
If we watch persons going about their ordinary business, working alone, mingling and chatting in a crowd, or negotiating and collaborating in a collective task, we see that, while the human body is built to walk on two legs to an inner drum, at the same time it is intricately juggling hips, shoulders and head as a tower of separately moving parts above the stepping feet. While walking, we freely turn and twist, glance with eyes jumping to left and right, extend waving limbs, make intricate gestures of the hands, talk, all in coordinated phrases of flowing rhythm. This movement has a multiplicity of semi-independent impulses, a potentiality for multi-rhythmic coordination that is surely richer than any other species possesses, inviting witty iteration and syncopation.37
一个富有表现力的肢体语言可能就是另一个人的舞蹈。鲁道夫·拉班 （Rudolf Laban） 描述了一位女演员如何扮演夏娃 可能会以不止一种方式摘苹果，动作表情各不相同。38 她的手臂或整个身体可能会突然、狂热地朝一个方向射向令人垂涎的对象，以表达贪婪。 或者，她可能是慵懒的，甚至是感性的，漫不经心地缓慢地抬起一只手臂，而身体的其他部分 懒洋洋地弯曲着远离苹果。我们的非语言人类祖先可能在 模仿或对屠宰尸体或分享食物采取不同的态度。
Expressive body language for one might be dance for another. Rudolf Laban described how an actress playing the role of Eve might pluck the apple in more than one way, with movements of varying expression.38 Her arms or her whole body might shoot out suddenly, avidly, in one direction towards the coveted object to express greed. Alternatively, she might be languid or even sensuous, with a nonchalant, slow lifting of an arm, while the rest of the body is lazily curved away from the apple. Our non-linguistic human ancestors might have used a similar variety of movements when miming or enacting different attitudes towards the butchery of a carcass or the sharing of food.
通过这样做，他们会将不同的意图或含义的细微差别放在同一个基本的整体话语/手势上。 拉班举了一个简单的例子，说明“不”这个词可以伴随的一系列富有表现力的手势。他解释说，一个 可以通过按压、轻弹、拧动、轻拍、、漂浮、劈砍或滑行等动作来“表达”这一点 其中 '说' '不' 的方式完全不同。39 一旦这些手势被整合到一系列的身体动作中，干涩的发声，一旦一些被夸大、重复， 一个人相互嵌入其中，既有复杂的自我表达和交流方式，也有动作模式 这一起可以单独被观察为纯粹的舞蹈。
By so doing, they would have placed different nuances of intent or meaning onto the same basic holistic utterance/gesture. Laban gives the simple example of the expressive range of gestures that can accompany the word ‘no’. He explains that one can ‘say’ this with movements that are pressing, flicking, wringing, dabbing, thrusting, floating, slashing or gliding, each of which ‘says’ ‘no’ in a quite different manner.39 Once such gestures are integrated into a sequence of body movements arid vocalizations, once some are exaggerated, repeated, embedded within each other, one has both a sophisticated means of self-expression and communication, and a pattern of movements that together can be observed as pure dance alone.
今天，我们对手势和身体动作的微妙性相对不敏感，部分原因是我们太依赖 语言，因此很难想象手势和基于动作的通信系统的力量。拉班哀叹道 这种损失是：“我们已经失去了身体的这种语言，我们重新发现它的可能性很小。40
Today we are relatively desensitized to the subtleness of gestures and body movement, partly because we are so dependent upon language and hence have difficulty imagining the power of a gestural and movement-based communication system. Laban laments this loss: ‘we have lost this language of the body, and there is little probability that we can rediscover it.’40
The musicality of Homo ergaster: the beginning of an evolutionary process
本章的开头我就提出，两足行走可能在人类社会引发了一场音乐革命。它通过以下方式做到了这一点 增强发声、肢体语言和节奏使用的多样性。而我们应该想象一下声音交流 南方古猿、Homo habilis 和 Homo rudolfensis 作为今天非人类灵长类动物制造的更悠扬的版本，而那些由 Homo ergaster 物种的成员，例如 Nariokotome 男孩，所制造的肯定非常不同，在现代世界没有适当的类比。而 双足行走无意中扩展了声学多样性，其关键后果是在“嗯”中扮演了节奏和运动的角色 达到一个新的数量级。
I began this chapter by suggesting that bipedalism may have initiated a musical revolution in human society. It did this by enhancing the diversity of vocalizations, body language and the use of rhythm. Whereas we should imagine the vocal communications of the australopithecines, Homo habilis and Homo rudolfensis as more melodious versions of those made by non-human primates today, those made by members of the Homo ergaster species, such as the Nariokotome boy, must have been very different, with no adequate analogy in the modern world. While bipedalism inadvertently extended acoustic diversity, its key consequence was to take the role of rhythm and movement in ‘Hmmmm’ to a new order of magnitude.
然而，我必须小心不要夸大 Homo ergaster 的音乐性和沟通技巧，因为这个物种只是进化过程的开始。Homo ergaster 使用的整体短语——问候、陈述和请求的通用形式——可能在数量上很少，而且潜在的表现力 的人体可能直到后来大脑更大的 Homo 物种进化出来才被意识到。此外，Homo ergaster 肯定缺乏精细呼吸控制的解剖学适应能力，而这种适应是复杂发声所必需的 现代人类的言语和歌曲。事实上，它调节呼吸的能力似乎与非洲猿类没有什么不同 今天。41
I must, however, be careful not to exaggerate the musicality and communication skills of Homo ergaster, as this species marks only the beginning of an evolutionary process. The holistic phrases used by Homo ergaster – generic forms of greetings, statements and requests – are likely to have been small in number, and the potential expressiveness of the human body may not have been realized until later, bigger-brained, species of Homo had evolved. Moreover, Homo ergaster certainly lacked the anatomical adaptations for fine breathing control that are necessary for the intricate vocalizations of modern human speech and song. In fact its ability to regulate breathing appears no different to that of the African apes today.41
虽然 Homo ergaster 可能是完全两足的，但它在其他特征上仍然像南方古猿。Nariokotome 标本确实有 与现存的非洲猿类和南方古猿的 450 立方厘米相比，这是一个相对较大的大脑，但这个，是 主要是该标本的大体型的反映。直到 600， 000 年前之后，智人的大脑大小才显着增加，“超过了仅靠体型所能解释的量，达到了现代人的大脑大小 最迟在 100， 000 年前，也可能在 250， 000 年前。42 因此，在 Homo ergaster 首次出现后，大脑扩张有大约 100 万年的有效停滞。
While Homo ergaster may have been fully bipedal, it remained australopithecine-like in other characteristics. The Nariokotome specimen did have a relatively large brain compared to the 450 cubic centimetres of living African apes and australopithecines, but this, is primarily a reflection of that specimen’s large body size. It is not until after 600, 000 years ago that the brain size of Homo increases significantly, ‘exceeding that which can be accounted for by body size alone and reaching that of modern humans by 100, 000 years ago at the latest, and possibly by 250, 000 years ago.42 There was, therefore, about one million years of effective stasis in brain expansion after Homo ergaster had first appeared.
人类大脑在 600， 000 年前开始的巨大而迅速的生长，最好用选择压力来解释 以增强交流，从而产生比 Homo ergaster 使用的更高级的“Hmmmm”形式。本书的下一章将探讨这些压力以及 “嗯 ”可能演变的方式，引导我们 走向 250， 000 年前生活在欧洲的“会唱歌的尼安德特人”。
The immense and rapid growth of the human brain that began after 600, 000 years ago can best be explained by selective pressures for enhanced communication, resulting in a far more advanced form of ‘Hmmmm’ than that used by Homo ergaster. The next chapters in this book will explore these pressures and the manner in which ‘Hmmmm’ may have evolved, leading us towards the ‘Singing Neanderthals’ that were living in Europe by 250, 000 years ago.
图 10人脑大小的进化。
Figure 10 The evolution of human brain size.
11 模仿自然
11 Imitating nature
关于自然世界的交流
Communication about the natural world
‘Watermelon Man’ by Herbie Hancock: a group of Homo
heidelbergensis returning to their campsite after a successful hunt
1995 年有一个非凡的考古发现：三根有 400， 000 年历史的木矛。这些是由 Hartmut 挖掘的 Thieme 在德国南部 Schöningen 的露天煤矿开采暴露的考古遗址。几个缺口件 还发现了木头，它们与长矛一起代表了有史以来发现的最古老的木制狩猎武器。每 长矛是用一棵三十年树龄的云杉树干制成的。它们是用树干精心塑造的， 看起来像现代标枪，它们的尖端是由树干底部发现的特别坚硬的木材雕刻而成的。1
A remarkable archaeological discovery was made in 1995: three 400, 000-year-old wooden spears. These were excavated by Hartmut Thieme at an archaeological site exposed by open-cast coal mining at Schöningen in southern Germany. Several notched pieces of wood were also found which, together with the spears, represent the oldest Wooden hunting weapons ever discovered. Each spear had been made from the trunk of a thirty-year-old spruce tree. They had been carefully shaped from the tree trunks and look like modern javelins, with their tips carved from the particularly hard wood found at the base of the trunk.1
Schöningen 的发现表明，前现代人类至少在 400， 00 年前就开始制造木制文物。 很少有考古学家怀疑过这种情况，因为在石器上发现的磨损痕迹表明是木工。 然而，许多考古学家曾怀疑前现代人类是大型猎物猎人;但 Schöningen 的长矛证明了这一点 错。2 他们被发现于一个可能的居住地，一个曾用过火的地方，那里有一万多只保存完好的 马和其他大型哺乳动物的骨头。许多骨头上有石器切割的痕迹和断裂模式，表明 屠杀。争辩说，标枪状的长矛不是为了杀死马和鹿，甚至可能是为了杀死大象 而犀牛，将是反常的。
The Schöningen finds demonstrated that pre-modern humans were manufacturing wooden artefacts by at least 400, 00 years ago. Few archaeologists had ever doubted that this was the case because wear traces found on stone artefacts had indicated woodworking. Many archaeologists, however, had doubted that pre-modern humans were big-game hunters; but the Schöningen spears proved them wrong.2 They were found at a likely habitation site, one where fire had been used and where there were more than ten thousand well-preserved bones from horse and other large mammals. Many of the bones had cut marks from stone tools and fracture patterns indicative of butchery. To argue that the javelin-like spears had not been thrown to kill horses and deer, and perhaps even elephant and rhinoceros, would be perverse.
尽管舍宁根的发现结束了关于大型猎物狩猎的争论，但它们激起了另一个争论——关于认知和 前现代人类的交际能力。谢菲尔德大学（Sheffield University）考古学教授罗宾·丹内尔（Robin Dennell）认为： Schöningen 长矛表明“相当深入的规划、复杂的设计和雕刻木材的耐心， 所有这些都只归因于现代人类”。3 他还形容自己在得知他们的发现时“无言以对”。
Although the Schöningen discoveries ended the debate about big-game hunting, they inflamed another – about the cognitive and communicative abilities of pre-modern humans. Robin Dennell, professor of archaeology at Sheffield University, argued that the Schöningen spears indicate ‘considerable depth of planning, sophistication of design, and patience in carving the wood, all of which have been attributed only to modern humans’.3 He also described himself as ‘speechless’ when learning of their discovery.
Schöningen 长矛为本章提供了适当的介绍，因为它将研究“嗯”通信 早期原始人系统可能是由 180 万至 250， 000 年前他们与自然世界的互动所塑造的。 前几章和接下来的两章都侧重于前现代人类的社会世界以及“嗯”的表达方式 并诱导情绪状态和结构化的社交互动。我在这里关心的是关于动物、植物、河流、 天气和自然界的其他特征。我们的起点是不久之后欧洲和亚洲的殖民化 200 万年前。
The Schöningen spears provide an appropriate introduction to this chapter because it will examine how the ‘Hmmmm’ communication system of early hominids would have been moulded by their interactions with the natural world between 1.8 million and 250, 000 years ago. Both the previous chapters, and the two that follow, focus on the social world of pre-modern humans and how ‘Hmmmm’ expressed and induced emotional states and structured social interaction. My concern here is communication about animals, plants, rivers, weather and other features of the natural world. Our starting point is with the colonization of Europe and Asia soon after 2 million years ago.
扩散到欧亚大陆
Dispersal into Eurasia
直到最近，绝大多数考古学家都认为，人类祖先最早是在 100 万年前。但是，一连串的新发现，以及用新技术对长期已知的化石进行重新测年，已经翻了一番 那个估计。4 因此，现在看来，最初传播的日期几乎与化石记录中 Homo ergaster 的出现相吻合。那个大脑更大、完全两足的早期人类物种似乎是第一个拥有 既有分散到新领域的能力和动力。
Until very recently, the vast majority of archaeologists believed that human ancestors first dispersed out of Africa at around 1 million years ago. But a succession of new discoveries, and the redating of long-known fossils by new techniques, have doubled that estimate.4 So it now appears that the date of initial dispersal virtually coincides with the appearance of Homo ergaster in the fossil record. That bigger-brained and fully bipedal Early Human species appears to have been the first to possess both the capacity and the motivation to disperse into new landscapes.
19 世纪末，在爪哇发现了非洲以外的前现代人类的第一个痕迹。几个 在 1928 年至 1937 年间发现了更多的头骨碎片，当时人们认为这些碎片大约有 100 万年的历史。这些是分配的 到直立人，现在被认为是 Homo ergaster 的直系后裔。1994 年，其中两个片段被重新确定为 1.8 万年前和 160 万年前，这表明 Homo ergaster 不仅在进化后立即从非洲分散开来，而且还经历了快速的进化变化。事实上，如果 较早的日期是正确的，那么最初的传播可能是由 Homo habilis 进行的。5
The first traces of pre-modern humans outside of Africa were discovered in Java at the end of the nineteenth century. Several more skull fragments, then believed to be around one million years old, were found between 1928 and 1937. These were assigned to Homo erectus, now thought to be an immediate descendant of Homo ergaster. In 1994, two of the fragments were redated to 1.8 and 1.6 million years ago, suggesting that Homo ergaster had not only dispersed from Africa as soon as it had evolved but had also undergone rapid evolutionary change. Indeed, if the earlier date is correct, then the initial dispersal may have been by Homo habilis.5
1995 年，在《科学》上发表了一项关于中国隆坡洞早期人类居住的说法，距今 190 万年前。6 这有其问题：所谓的标本，一颗牙齿，可能来自一只猿猴，而猿猴当时出现在中国 不要出乎意料。此外，在该遗址发现的碎石文物似乎与此没有直接关系 测年的沉积物。此后，更可靠的证据来自北部 Nihewan 盆地的湖泊沉积物 中国，无可争议的石制品可以追溯到 166 万年前。7
In 1995 a claim was published in Science for Early Human occupation at Longuppo Cave in China at 1.9 million years ago.6 This had its problems: the supposed specimen, a tooth, may have come from an ape, whose presence in China at that date would not be unexpected. Moreover, chipped stone artefacts found at the site do not appear to have been directly associated with the sediments that were dated. More reliable evidence has since come from lake sediments in the Nihewan Basin in the north of China, where indisputable stone artefacts have been dated to 1.66 million years ago.7
100 万年前从非洲扩散的进一步证据来自西亚。最早的职业 位于约旦河谷 （Jordan Valley） 的考古遗址 'Ubeidiya 的历史可以追溯到 150 万年前。8 这有大量的石器文物和一些毫无疑问的早期人类碎片。它也在一个关键的分散上 来自非洲的路线，因为约旦河谷只是裂谷的延伸，而 Homo ergaster 就是在那里进化的。2000 年，在另外 2000 公里外的格鲁吉亚德马尼西发现了两个 Homo ergaster 头骨，与非洲 Nariokotome 的头骨几乎相同 位于 'Ubeidiya 以北，可追溯到 170 万年前。9 此后又发现了另外两个头骨和颌骨，这些化石很有趣，因为它们显示出大脑较小 （和身体）大小，仅为 650 立方厘米。
Further evidence for dispersal from Africa prior to 1 million years ago has come from western Asia. The earliest occupation at ‘Ubeidiya, an archaeological site in the Jordan Valley, has been dated to 1.5 million years ago.8 This has large quantities of stone artefacts and some unquestionable Early Human fragments. It is also on a key dispersal route from Africa, as the Jordan Valley is merely an extension of the Rift Valley, where Homo ergaster evolved. In 2000, two Homo ergaster skulls, almost identical to that from Nariokotome in Africa, were found at Dmanisi, in Georgia, a further two thousand kilometres north of ‘Ubeidiya, and dated to 1.7 million years ago.9 Two further skulls and jaw bones have since been discovered, and the fossils are intriguing because they show a smaller brain (and body) size than the Nariokotome specimen, at a mere 650 cubic centimetres.
图 11 原始人的早期传播，很可能是 Homo ergaster，以及文中提到的关键地点的位置。
Figure 11 Early dispersals of hominids, most likely Homo ergaster, and location of key sites mentioned in the text.
因此，看起来要么是 Homo ergaster 在进化并迅速传播到整个亚洲后不久就分散出非洲，要么是更早的时候 Homo habilis 的传播。
It appears, therefore, either that Homo ergaster dispersed out of Africa soon after it had evolved and rapidly spread throughout Asia, or that there had been an even earlier dispersal of Homo habilis.
尽管德马尼西遗址被描述为“位于欧洲的大门”，但 10 个证明欧洲人在 100 万年前存在的决定性证据仍然难以捉摸。已认领了几个地点 因为有更古老年代的人工制品，但几乎可以肯定这些是因霜冻和碰撞而破裂的石头 在河流中，而不是由早期人类之手。最古老的经过身份验证的站点是位于西班牙北部 Atapuerca 的 TD6。11 这可以追溯到 800， 000 年前，有大量的早期人类化石，其中许多都有 石器暗示同类相食。奥尔塞，位于西班牙南部，其据推测的化石碎片和石制品可以追溯到 190 万年前;是另一位候选人。12 但是，这块化石是一块相当不起眼的骨头，更像是来自马，而不是来自早期人类。日期也值得怀疑。 它基于沉积证据，证明在整个 过去。13 但奥尔斯的反转似乎更有可能发生在 0.9 而不是 190 万年前。
Although the Dmanisi site has been described as being ‘at the gates of Europe’, 10 conclusive evidence for a European presence prior to 1 million years ago has remained elusive. Several sites have been claimed as having artefacts of a far older date, but these are almost definitely stones that have been fractured by frosts and collisions in rivers rather than by Early Human hands. The oldest authenticated site is TD6 at Atapuerca in northern Spain.11 This is dated to 800, 000 years ago and has a significant number of Early Human fossils, many of which have cut-marks from stone tools suggesting cannibalism. Orce, in southern Spain, with its supposed fossil fragment and stone artefacts dated to 1.9 million years ago; is another candidate.12 But the fossil, a rather nondescript piece of bone, is more probably from a horse than from an Early Human. The date is also questionable. It is based on sedimentary evidence for one of the reversals of the earth’s magnetic field that have occurred throughout the past.13 But the reversal at Orce seems more likely to have been at 0.9 than at 1.9 million years ago.
到 50 万年前，早期人类已经在北欧建立了大量的存在，正如 位于英格兰南部博克斯格罗夫的站点。14 尽管证据仍然很少且仍在分析中，但最近在 Pakefield 发现的石制品 诺福克可能暗示着 750， 000 年前的占领。15 来自博克斯格罗夫和其他类似年龄的欧洲遗址的化石碎片被认为是海德堡人（Homo heidelbergensis）的，这是海德堡人（Homo heidelbergensis）的另一个直系后代，也是尼安德特人最有可能的直接祖先。海德堡人 （Homo heidelbergensis） 的骨骼大而厚壁，表明体重很大，这可能是对生活的生理适应 在北欧的寒冷景观中。这是由 Homo neanderthalensis 继承的，然后由 Homo heidelbergensis 的直接后代进一步进化。
By 0.5 million years ago, a substantial Early Human presence had been established in northern Europe, as demonstrated by the site at Boxgrove in southern England.14 Although the evidence remains scanty and is still under analysis, recent discoveries of stone artefacts from Pakefield in Norfolk may imply occupation by 750, 000 years ago.15 The fossil fragments from Boxgrove and other European sites of a similar age are attributed to Homo heidelbergensis, another immediate descendant of Homo ergaster and the most likely direct ancestor of the Neanderthals. The bones of Homo heidelbergensis were large and thick-walled, indicative of a substantial body mass, which was probably a physiological adaptation for living in the cold landscapes of northern Europe. This was inherited and then further evolved by Homo neanderthalensis, a direct descendant of Homo heidelbergensis.
一种完全不同的生理学类型在东南亚的 Homo 谱系的一部分中进化而来。2003 年在印度尼西亚弗洛雷斯岛的 Liang Bang 岩石庇护所的挖掘产生了 七具尸体，身高不超过一米，尽管他们已经成年。这些是 被指定为新种，Homo floresiensis。16 鉴于岛上发现的石器的年代，人们认为一小群直立人在大约 800， 000 年前短暂渡海到弗洛雷斯岛。17 然后，这个种群变得孤立并进化成侏儒形式的人。这是已知的发生在孤立在小岛上的大型陆生哺乳动物身上的过程，尤其是在没有捕食者的情况下。 侏儒象、河马、鹿和猛犸象已在世界各地的岛屿上被发现。这是 dwarf 的唯一发现 人类，显示了我们属的生理多样性，尤其是与来自欧洲的相对庞大的海德堡人相比。也许与它们的体型一样引人注目的是，弗洛里斯人 （Homo floresiensis） 在弗洛雷斯岛上存活了下来，直到仅仅 12， 000 年前。
A quite different type of physiology evolved in part of the Homo lineage of south-east Asia. Excavations during 2003 in Liang Bang rock shelter on Flores Island in Indonesia produced the remains of seven individuals who had been no more than one metre high, even though they were fully grown adults. These were designated as a new species, Homo floresiensis.16 In view of the date of stone artefacts found on the island, it is thought that a small population of Homo erectus made a short water crossing to Flores Island at around 800, 000 years ago.17 That population then became isolated and evolved into a dwarf form of Homo. This is a process known to happen to large terrestrial mammals isolated on small islands, especially if predators are absent. Dwarf elephants, hippos, deer and mammoths have been found on islands around the world. This is the only discovery of dwarf humans and shows just how physiologically diverse our genus can be, especially when compared to the relatively massive Homo heidelbergensis from Europe. Perhaps just as remarkable as their size is that Homo floresiensis survived on Flores Island until a mere 12, 000 years ago.
石材技术的发展
Developments in stone technology
将 Homo ergaster、Homo erectus 和 Homo heidelbergensis 称为早期人类而不是早期原始人是有用的，因为这承认了他们的进化状态。这些物种引人注目 类似于智人，因为他们完全现代的身材和两足行走能力;他们是体型庞大、强壮的个体，大脑大小约为 1000 立方厘米——大约是现代人类的 80%。生活在 140 万年前的人们拥有的石器技术比以前要复杂得多。
It is useful to refer to Homo ergaster, Homo erectus and Homo heidelbergensis as Early Humans rather than early hominids because this acknowledges their evolutionary status. These species are strikingly similar to Homo sapiens by virtue of their fully modern stature and bipedalism; they were large and robust individuals, with brain sizes of around 1000 cubic centimetres – about 80 per cent of that of modern humans. And those living after 1.4 million years ago had a stone tool technology significantly more complex than that which had gone before.
那是考古记录中出现一种新型文物的日期：手斧。与 Oldowan Chopper 不同 由 Homo habilis 和 australopithecines 制造的工具，手斧具有精心实施的形式。许多是梨形的，通常与一个人的大小差不多 手掌;其他的呈卵形;而有些，技术上称为切肉刀，具有直边。来自非洲的手斧，例如 在 Olduvai 峡谷的矿床中或在 50 万年前的 Olorgesailie 遗址中发现的大量矿床，都是通过凿开制成的 玄武岩、石英岩、燧石和石灰岩的结核。在欧洲和西部的遗址中出土了数千件 和南亚，那里的燧石由于其细腻的剥落品质，通常是首选原材料。
That is the date at which a new type of artefact appears in the archaeological record: the hand-axe. Unlike the Oldowan Chopper tools made by Homo habilis and the australopithecines, hand-axes have a carefully imposed form. Many are pear-shaped, often about the size of one’s palm; others are ovate; and some, technically known as cleavers, have a straight edge. Hand-axes from Africa, such as those found in the deposits of Olduvai Gorge or in vast numbers at the 0.5 million-year-old site of Olorgesailie, were made by chipping nodules of basalt, quartzite, chert and limestone. Many thousands have been excavated from sites in Europe, and in western and southern Asia, where flint was often the preferred raw material owing to its fine flaking qualities.
对薄片脱落处留下的疤痕的细致研究，以及对石头的实验性敲击，为考古学家提供了 对手斧的制作方法有很好的了解。18 石锤（例如石英岩的球形结核）用于从结核中分离大而厚的薄片。 在制作出手斧的大致形状后，其他类型的薄片被去除，特别是“变薄”的薄片。 这些通常用鹿角或骨头的“软”锤子分离，该锤子必须以非常特定的角度敲击石头： 为了去除会使手斧变薄的薄片。通常必须去除小的制备薄片才能创建 打击平台;在整个制造过程中，需要稍微研磨锋利的边缘，以去除不规则之处 否则可能会偏转锤子打击的力量。
Meticulous studies of the scars left where flakes were detached, and the experimental knapping of stone, have given archaeologists a very good understanding of how hand-axes were made.18 Stone hammers – spherical nodules of quartzite, for example – were used to detach large, thick flakes from a nodule of stone. After the approximate shape of the hand-axe had been created, other types of flakes were removed, notably ‘thinning’ flakes. These were often detached with a ‘soft’ hammer of antler or bone, which had to strike the stone at a very specific angle: in order to remove flakes that would thin the hand-axe. Small preparatory flakes often had to be removed in order to create striking platforms; and throughout the manufacturing process sharp edges needed to be ground slightly so as to remove irregularities that might otherwise have deflected the force’ of the hammer blow.
实验研究表明，手斧可以成为非常有效的屠宰工具。它们与动物骨骼的联系 在许多考古遗址中，除了骨头上的切割痕迹和手斧上的磨损痕迹外，还证实了它们用于屠宰 – 尽管它们也可能用于其他任务。位于西萨塞克斯郡博克斯格罗夫 （Boxgrove） 的遗址提供了明确的证据 手斧被用来屠宰大型猎物，包括马、鹿和犀牛。19
Experimental studies have shown that hand-axes can be very effective butchery implements. Their association with animal bones at many archaeological sites, along with cut-marks on the bones and wear traces on the hand-axes, confirm their use for butchery – although they may have been used for other tasks as well. The site at Boxgrove in West Sussex provides clear evidence that hand-axes were used for butchering big game, including horse, deer and rhinoceros.19
必须注意手斧的另外两个特点。首先，它们在考古记录中的寿命长：超过 100 万年 年，手斧作为最先进的石器形式实际上保持不变。它们仍在制作中 仅在 50， 000 年前，欧洲最后的一些尼安德特人就被他们杀死了，尽管那时他们已经变得相对次要 技术库的组成部分。总而言之，它们是整体中最广泛、最持久的工具类型 人类进化的。
Two other features of hand-axes must be noted. First, their longevity in the archaeological record: for more than a million years hand-axes remained effectively unchanged as the most advanced form of stone tool available. They were still being made by some of the last Neanderthals in Europe at just 50, 000 years ago, although by that time they had become a relatively minor component of the technological repertoire. All in all, they are the most widespread and long-lasting tool type from the whole of human evolution.
其次，许多手斧具有高度对称的形状，这似乎完全没有必要用作屠宰工具。 我将在下一章中对这种对称性进行解释。
Secondly, many hand-axes have a highly symmetrical form which appears to be quite unnecessary for their use as butchery implements. I will provide an explanation for such symmetry in the following chapter.
尽管早期人类从非洲传播的证据仍然很少且难以解释，但大多数古人类学家 现在同意这发生在 200 万年前不久——比 手斧，虽然只有类似 Oldowan 的技术可用。
Although the evidence for Early Human dispersal from Africa remains both scanty and difficult to interpret, most palaeoanthropologists now agree that this occurred soon after 2 million years ago – more than half a million years before the first appearance of hand-axes and while only an Oldowan-like technology was available.
扩散的过程可能与已知从 非洲在 2 到 100 万年前进入欧洲和亚洲。20 这一时期，地球的气候发生了许多变化，这些变化不断改变植被覆盖的特征，而 许多物种的觅食机会，包括早期人类。作为回应，他们的种群增长并扩散到新的领域 或者退缩和撤退，但没有任何有意识的意图。因此，我们只需要这些技术 生物地理学和古生态学的解释，以解释 'Ubeidiya 等遗址中存在石制品和早期人类化石， 德马尼西、阿塔普尔卡和弗洛雷斯岛。21
The process of dispersal might have been no different from that of the other large mammals that are known to have spread from Africa into Europe and Asia between 2 and 1 million years ago.20 This period saw many changes in the earth’s climate, which constantly altered the character of the vegetation cover and the foraging opportunities for many species, including Early Humans. In response, their populations grew and spread into new territories or else shrank and retreated, but without any conscious intention to do so. Accordingly, we would need no more than the techniques of biogeography and palaeoecology to explain the presence of stone artefacts and Early Human fossils at sites such as ‘Ubeidiya, Dmanisi, Atapuerca and Flores Island.21
然而，另一种情况是，到 200 万年前，我们的人类祖先的行为已经完全不同了 这要求我们援引探索和发现的概念来解释它们的扩散 来自非洲。但是，我们是否也应该将他们归咎于“珠穆朗玛峰综合症”——有意识地渴望探索新的土地 除了“因为他们在那里”之外没有其他原因——目前尚不清楚。22
An alternative scenario, however, is that by 2 million years ago our human ancestors were already behaving quite differently from other large mammals, and this requires us to invoke concepts of exploration and discovery in order to explain their dispersal from Africa. But whether we should also attribute to them the ‘Everest syndrome’ – a conscious desire to explore new lands for no reason other than ‘because they were there’ – remains unclear.22
另一个争论点涉及分散的途径。传统观点认为，Homo ergaster 通过遥远的东北部离开非洲，沿着裂谷、尼罗河谷和 佐敦谷。根据这种观点，'Ubeidiya 正是我们应该期望找到非洲以外最早遗址的地方。 然而，还有另外两条可能的分散路线。第一个是在东非大裂谷以东，从今天的埃塞俄比亚出发 进入现代也门。今天，这需要渡水，但即使海平面也会略微下降，就像反复发生的那样 在更新世，早期人类可能已经从东非徒步传播到西南亚。23 第二种选择涉及从北非海岸到欧洲的水路穿越。最短的路线将是 一直穿过直布罗陀海峡。但穿过海峡的水流强度可能已经使 这样的旅行对早期人类来说是令人望而却步的，他们不太可能使用过非常简单的木筏以外的任何东西。因此， 从现代突尼斯海岸穿越到西西里岛，有时可能不超过 50 公里 海平面较低，似乎更有可能。
Another point of debate concerns the routes of dispersal. The conventional view has been that Homo ergaster left Africa via the far north-east, following the geographical route formed by the Rift Valley, the Nile Valley, and the Jordan Valley. According to this view, ‘Ubeidiya is just where we should expect to find the earliest sites out of Africa. There were, however, two other possible dispersal routes. The first was to the east of the Rift Valley, from modern-day Ethiopia into modern-day Yemen. Today this requires a water crossing, but with even a minor reduction of sea level, as repeatedly happened during the Pleistocene, Early Humans could have spread from East Africa into south-west Asia on foot.23 The second alternative would have involved a water crossing from the North African coast to Europe. The shortest route would always have been across the Straits of Gibraltar. But the strength of currents through the straits is likely to have made such a trip prohibitive for Early Humans, who are unlikely ever to have used anything more than very simple rafts. Thus the crossing from the coast of modern-day Tunisia to Sicily, which is likely to have been no more than fifty kilometres at times of low sea level, seems more probable.
欧洲人最早定居的日期是在南方而不是北方，这一事实可能支持从非洲直接殖民的观点。但北方的风景会 对于非洲进化的早期人类来说更难掌握。因此，我们应该预料到这些地区的延迟殖民 无论早期人类是穿越大大减少的地中海还是通过亚洲路线到达欧洲。
The fact that the earliest dates for European settlement are found in the south rather than the north might support the idea of direct colonization from Africa. But the northern landscapes would have been more difficult for an African-evolved Early Human to master. Hence we should expect a delayed colonization of these areas regardless of whether Early Humans crossed the much-reduced Mediterranean Sea or arrived in Europe via an Asian route.
此外，只有一条分散路线的可能性很小，或者这些路线只使用了一次。 而不是将非洲的分散设想为某种一次性的迁移事件，这导致了大片的早期人类 逐渐侵占亚洲和欧洲的陆地，我们应该从多个小的扩散的角度来考虑，许多 这只会导致那些进入新环境的早期人类的死亡。所以，尽管 在 200 万年前不久之后，非洲可能有早期人类的痕迹，可能又过了一百万年才 建立了永久和持续的早期人类存在。事实上，北欧遗址的最终出现 在 50 万年前可能反映了在北方纬度地区新发现的生存能力，而这在以前根本没有 一直在场。这种能力可能在于技术的发展，以提高他们作为大型猎物猎人的效率。 正如 Schöningen 长矛所证明的那样。但反过来，这种技术可能源于他们的 交际能力。
Moreover, it is most unlikely that there was only one dispersal route, or that the routes were used on just one occasion. Rather than envisaging the dispersal out of Africa as some type of one-off migration event which led to swathes of Early Humans gradually encroaching across the Asian and European land masses, we should think in terms of multiple minor dispersals, many of which would have led to nothing more than the deaths of those Early Humans that entered into new environments. So, although there may be traces of Early Humans out of Africa soon after 2 million years ago, it probably took another million years until a permanent and continuous Early Human presence was established. Indeed, the eventual appearance of sites in northern Europe at 0.5 million years ago might reflect a new-found ability to survive in northern latitudes that simply had not previously been present. That ability might have lain in the development of technology to improve their effectiveness as big-game hunters, as demonstrated by the Schöningen spears. But such technology, in turn, may have derived from a further evolution of their communicative abilities.
关于自然世界的交流
Communication about the natural world
根据定义，分散意味着进入陌生的景观，在那里会遇到新型的动植物。 以及必须找到淡水、木柴、石头和其他资源的新分布和信息的地方 传播给他人。无论我们是否考虑早期人类的扩散，这种交流都是必不可少的 更类似于其他大型哺乳动物或现代人类探险家的。无论哪种情况，早期人类都是 它们的生存和繁殖依赖于作为群体的一部分合作工作，这将在第 14 章中进一步研究。
By definition, dispersal means entering unfamiliar landscapes, in which new types of animals and plants would have been encountered, and where new distributions of fresh water, firewood, stone and other resources would have had to be found and the information transmitted to others. Such communication would have been essential regardless of whether we think of Early Human dispersal as more similar to that of other large mammals or to that of modern human explorers. Whichever is the case, Early Humans were dependent for their survival and reproduction on working cooperatively as part of a group, as will be examined further in chapter 14.
尤其是当他们从事大型狩猎时，情况尤其如此。为了实现这样的合作，信息 关于自然世界的知识必须从一个早期人类传播到另一个早期人类。现代狩猎采集者经常讨论 动物的足迹和踪迹、天气状况、替代狩猎计划等。尽管对早期人类使用现代类比总是有风险的，但关于 自然世界似乎对于大型猎物狩猎至关重要。24
This would have been the case especially when they were engaged in big-game hunting. To achieve such cooperation, information about the natural world had to be transmitted from one Early Human to another. Modern hunter-gatherers frequently discuss the tracks and trails of animals, weather conditions, alternative hunting plans and so forth. Although it is always risky using modern analogies for Early Humans, a significant exchange of information about the natural world appears essential for big-game hunting.24
“嗯嗯”的沟通是如何实现的呢？首先，我们应该认识到早期人类可能使用过物品 来支持他们的口语和手势。通过携带某种新型的岩石或植物返回社区，尸体 关于不熟悉的哺乳动物或鸟的羽毛，人们可以传达很多信息。同样， 一个人通过发声和肢体语言的情绪状态会非常有信息量：快乐、兴奋和自信 建议新的觅食机会;退缩和顺从表明远距离狩猎和聚集 进入一个新的领域无济于事。简单的生理指标也可能很有价值：对观察者 眼睛，一个吃得饱、健康的早期人类会和一个明显缺乏 食物和水。
How could that have been achieved by ‘Hmmmm’ communication? First, we should recognize that Early Humans might have used objects to support their spoken utterances and gestures. By returning to one’s community carrying some new type of rock or plant, the carcass of an unfamiliar mammal or the feathers of a bird, one could have communicated a great deal. Similarly, the expression of one’s emotional state by vocalization and body language would have been very informative: happiness, excitement and confidence suggesting new foraging opportunities; withdrawal and submissiveness indicating that a long-distance hunting and gathering trip into a new landscape had been to no avail. Simple physiological indicators might also have been valuable: to observant eyes, a well-fed and healthy Early Human would have told quite a different story from one who had evidently been short of food and water.
可以使用哪些进一步的信息传输方式？一个可能是对整体 话语，比起相关的发声，它所包含的自然环境和活动的更多方面 到捕食者和食物 建议在第 8 章中为早期原始人提供。另一个可能是在曲目中加入 mimesis “嗯”中的沟通方式 – 模仿是“产生有意识的、自我发起的、具象的能力 是故意而非语言的行为”。25
What further means of information transmission could have been used? One might have been an elaboration of the number of holistic utterances, increasing to encompass more aspects of the natural environment and activities than the vocalizations relating to predators and food suggested for early hominids in chapter 8. Another could have been the addition of mimesis to the repertoire of communication methods within ‘Hmmmm’ – mimesis being ‘the ability to produce conscious, self-initiated, representational acts that are intentional but not linguistic’.25
模仿和非语言交际
Mimesis and non-linguistic communication
安大略省皇后大学的神经科学家梅林·唐纳德 （Merlin Donald） 在他 1991 年的著作《现代心智的起源》中提供了上述模仿的定义。在那部作品中，他提出早期人类，如 Homo ergaster、Homo erectus 和 Homo heidelbergensis 使用拟态，这在猿和现代人类的交流形式之间架起了桥梁。模仿的使用有， 他认为，这让他们能够创造新型工具，殖民新的景观，使用火并参与大型狩猎，所有这些都 其中超出了早期非拟态原始人的能力。唐纳德认为模仿非常重要，因此他将 作为“拟态文化”存在的早期人类存在了 100 多万年。
Merlin Donald, a neuroscientist from Queen’s University, Ontario, provided the above definition of mimesis in his 1991 book, Origins of the Modern Mind. In that work he proposed that Early Humans such as Homo ergaster, Homo erectus and Homo heidelbergensis used mimesis, and that this provides the bridge between ape and modern human forms of communication. The use of mimesis had, he argued, allowed them to create new types of tools, colonize new landscapes, use fire and engage in big-game hunting, all of which were beyond the capacities of earlier, non-mimetic hominids. Donald thought mimesis was so important that he characterized more than one million years of Early Human existence as ‘mimetic culture’.
唐纳德区分了模仿、模仿和模仿。拟态是字面意思，试图将副本呈现为精确 尽可能。因此，当模仿另一个个体时，无论是自己的还是另一个物种的，都会试图准确地复制所有东西 关于它 - 或者可能只是它发出的声音或它的移动方式。模仿是类似的，但不是字面上的。唐纳德建议 那些模仿父母行为的后代会模仿但不模仿。虽然 mimesis 可能同时包含 mimicry 和 模仿，它有根本的不同，因为它涉及“意向表征的发明”。因此，尽管 抱着心或捂住脸的手势可能源于模仿某人的悲伤反应，当用来表示悲伤时，它们会被描述为模仿。就我个人而言，我觉得这种细微的区分很困难 理解和有限价值，所以我使用“模仿”一词包括模仿和模仿。
Donald distinguishes between mimesis, mimicry, and imitation. Mimicry is literal, an attempt to render as exact a duplicate as possible. So when mimicking another individual, of one’s own or another species, one tries to reproduce exactly everything about it – or perhaps just the sound it makes or the way it moves. Imitation is similar, but not as literal. Donald suggests that offspring copying their parents’ behaviour imitate but do not mimic. While mimesis might incorporate both mimicry and imitation, it is fundamentally different because it involves the ‘invention of intentional representations’. So although the gestures of holding one’s heart or covering one’s face may have originated from the imitation of someone’s grief reactions, when used to represent grief they would be described as mimetic. Personally, I find such fine distinctions difficult to comprehend and of limited worth, so my use of the term ‘mimesis’ is inclusive of both mimicry and imitation.
Donald 解释说，mimesis 可以包含非常广泛的动作和模式来表达 感知世界：“语气、面部表情、眼球运动、手部手势和手势、姿势姿态、模式化 各种全身运动，以及这些元素的长序列”。26 尽管他的观点是基于语言的文化形式取代了模仿文化，但他承认模仿仍在继续 作为人类文化的关键成分，从古至今。他的例子包括古希腊语和 罗马哑剧、早期的中国和印度舞蹈，以及澳大利亚原住民的舞蹈，其中个人认同，以及 扮演图腾动物的角色。27
Donald explains that mimesis can incorporate a very wide variety of actions and modalities to express many aspects of the perceived world: ‘Tones of voice, facial expressions, eye movements, manual signs and gestures, postural attitudes, patterned whole-body movements of various sorts, and long sequences of these elements’.26 Although his view is that a linguistically based form of culture replaced mimetic culture, he recognizes that mimesis continued as a key ingredient of human culture throughout history and up to the present day. His examples include Ancient Greek and Roman mime, early Chinese and Indian dance, and the dances of Australian aborigines, in which individuals identify with, and act out the role of, a totemic animal.27
模拟动物运动
Mimicking animal movements
表演动物的角色可能是早期人类互动的一个关键方面——要么是模仿，要么是 对动物声音和动作的更复杂的模仿，以表明已经看到的或什么 将来可能会看到。为了告知这个关于早期人类行为的命题，值得简要地考虑一下 一些现代狩猎采集者。模仿和表演动物的哑剧在所有这些社会中都很普遍，作为 他们的狩猎习俗和宗教仪式。
Acting out the roles of animals is likely to have been a key aspect of Early Human interactions – either the mimicking or the more sophisticated mimesis of animal sounds and movements, in order to indicate either what had already been seen or what might be seen in the future. To inform this proposition regarding Early Human behaviour, it is worthwhile briefly to consider some modern hunter-gatherers. Mimicking and performing mimes of animals are pervasive among all such societies as part of their hunting practices and religious rituals.
在 1950 年代的人类学研究过程中，洛娜·马歇尔 （Lorna Marshall） 详细描述了男性和 卡拉哈里沙漠 （Kalahari Desert） 的 Nyae Nyae （Nyae Nyae） 的 Kung 社区的男孩们模仿动物。28 她解释说，作为一种常规的消遣方式，他们模仿动物散步以及动物抬头和甩头的方式。 准确地捕捉节奏。这样做通常只不过是为了娱乐;她描述了这是多么令人愉快 观看一位年轻人模仿鸵鸟坐在巢上产蛋。许多 ！功夫音乐游戏也参与其中 模仿动物。每只动物在音乐中都由自己的节奏模式代表，这种节奏模式似乎经常被捕捉到 它的特殊移动方式，例如捻角羚（一种长角羚羊）的跳跃。男孩经常提供琴弦 节奏;当他们这样做时，他们活动自由的手臂和头部，以模仿动物。马歇尔描述 男孩们甚至如何拉弓模仿鬣狗交配的声音。在某些情况下，每个人似乎都加入了 进来，爬行、扑腾、跳跃和发出动物的声音。29
In the course of her anthropological studies of the 1950s, Lorna Marshall provided some detailed descriptions of how men and boys in the Kung community of Nyae Nyae in the Kalahari Desert mimicked animals.28 She explained that as a regular pastime they mimicked animal walks and the ways in which animals carry and throw their heads, catching the rhythms exactly. This was often done for nothing more than amusement; she described how delightful it was to watch one young man mimic an ostrich sitting down on its nest and laying eggs. Many of the !Kung musical games also involved the imitation of animals. Each animal was represented in the music by its own rhythmic pattern, which often seemed to catch the particular way it moved, such as the leap of a kudu (a type of long-horned antelope). Boys twanging bowstrings often provided the rhythms; while they did so, they moved their free arms and their heads so as to mimic the animals. Marshall described how the boys could even play their bows to mimic the sound of hyenas copulating. On some occasions everyone seemed to join in, crawling, pouncing, leaping and making animal sounds.29
但模仿技巧对 ！龚。在狩猎过程中，跟踪必须在安静的情况下进行，因此猎人使用模仿来表示他们所看到的。他们还 使用他们亲手制作的传统标志;两个铃声将从轻轻紧握的拳头中保持直立，手指被选中 并放置位置以表明角是像角马的角一样广泛展开，还是靠得很近并弯曲 就像羚羊的那些一样。在制作标志时，他们还移动了手和前臂来代表动物的方式 移动了它的头。
But skill in mimicry also had practical value for the !Kung. During the hunt, stalking had to be undertaken in silence and therefore hunters used mimicry to indicate what they had seen. They also used conventional signs made with their hands; two ringers would be held erect from a gently clasped fist, the fingers chosen and positioned so as to indicate whether the horns were widely spread like those of a wildebeest or close together and curved like those of a hartebeest. When making the sign, they also moved the hand and forearm to represent the way in which the animal moved its head.
人和动物一样被模仿，特定个体的姿势和动作的特殊性如此准确 复制了他们的身份，很容易被猜到。打斗以马歇尔所说的“哑剧”形式上演。武器 会像投掷武器一样被扔出，伴随着吼叫和吼叫，然后是模仿的斧头打击倒下的 对手。使用了程式化的手势，例如手轻弹穿过耳朵，假装导弹刚刚呼啸而过 由。当一个人假装杀死另一个人后，他会出现在他的肩膀上扔东西，这是可以理解的 那些观看的人意味着那个倒下的男人已经死了。
People were mimicked as well as animals, with the peculiarities of posture and movement of particular individuals so accurately copied that their identity could easily be guessed. Fighting was acted out in what Marshall described as ‘pantomimes’. Arms would be thrown as if hurling weapons, accompanied by yelps and yells, and followed by mimicked axe strikes against fallen opponents. Stylized gestures were used, such as the flicking of a hand past an ear to pretend that a missile had just whizzed by. After a man had pretended to kill another he would appear to throw something over his shoulder, which was understood by those watching to mean that the fallen man was dead.
除了最后一个手势之外，我上面给出的例子都没有涉及象征主义的使用，因此 任意的手势、动作或声音将代表动物或其他人的手势、动作或声音。他们都是标志性的手势， 身体动作或声音 – 直接和有意的表现，唐纳德将其归类为模仿。也不是 通信组合 – 即，根据特定规则形成，这些规则可以提炼其含义或添加 附加级别的含义。Mimesis 是一种整体性的交流形式，没有理由将非象征性的早期 人类不应该在他们的 “嗯 ”交流中使用类似类型的模仿。“相似”这个词在这里很关键， 因为我不相信早期人类能够将自己想象成他们所模仿的动物 现代人类可以做到的方式。30
With the possible exception of this last gesture, none of the examples I have given above involved the use of symbolism, whereby an arbitrary gesture, movement or sound would represent that of an animal or another person. They were all iconic gestures, body movements or sounds – direct and intentional representations, which Donald would classify as mimesis. Neither were the communications compositional – that is, formed according to specific rules that could either refine their meaning or add an additional level of meaning. Mimesis is a holistic form of communication, and there is no reason why the non-symbolic Early Humans should not have used a similar type of mimesis in their ‘Hmmmm’ communication. The word ‘similar’ is critical here, for I do not believe that the Early Humans were capable of imagining themselves as the animals that they were imitating in the way that modern humans can.30
人们可以很容易地想象，早期人类不仅可以用于动物，还可以用来表示广阔的 对水、林地或原材料的观察。
One can readily imagine that mime could have been used by Early Humans not just for animals, but also to indicate expanses of water, woodland or raw materials that had been observed.
拟声词和声音联觉
Onomatopoeia and sound synaesthesia
除了模仿动物的移动方式外，早期人类还可以模仿它们的叫声，以及自然界的其他声音 世界。我们知道，传统民族，那些生活在大自然附近的人，在他们的名字中广泛使用拟声词 生物。例如，在秘鲁热带雨林的 Huambisa 人中，206 种名称的三分之一 他们识别的鸟类显然起源于拟声词。31 虽然早期人类极不可能给周围的动物和鸟类起名字，但模仿它们的叫声可能会 是他们“嗯嗯”话语的一个关键特征。
As well as miming how animals move, Early Humans could have imitated their calls, along with the other sounds of the natural world. We know that traditional peoples, those living close to nature, make extensive use of onomatopoeia in their names for living things. Among the Huambisa people of the Peruvian rainforest, for instance, a third of the names for the 206 kinds of birds they recognize are clearly onomatopoeic in origin.31 Although it is highly unlikely that Early Humans gave names to the animals and birds around them, mimicking their calls would have been a key feature of their ‘Hmmmm’ utterances.
凭借这种现象，对动物名称的研究为早期人类“嗯”话语的性质提供了另一条线索 所谓的“声音象征主义”。32 这描述了名称通常反映动物的某些方面的方式，而不是它的叫声——最常见的是 它的大小。事实上，“声音象征”并不是一个非常好的术语，因为它暗示了名称和 animal，而我们在这里处理的恰恰相反。“声音联觉”是一个更好的术语，因为它描述了 从一种类型的变量 （size） 映射到另一种类型的变量 - 声音。
The study of animal names provides another clue to the nature of Early Human ‘Hmmmm’ utterances, by virtue of the phenomenon of what has been called ‘sound symbolism’.32 This describes the way in which names often reflect some aspect of the animal concerned other than its call – most frequently its size. ‘Sound symbolism’ is not, in fact, a very good term, because it implies an arbitrariness between the name and the animal, whereas we are dealing here with precisely the reverse. ‘Sound synaesthesia’ is a better term, for it describes the mapping from one type of variable – size – onto another – sound.
声音联觉在 1920 年代被 Otto Jespersen 认可——我在开篇一章中提到的语言学家之一 因为他也相信语言始于类似音乐的表达。Jespersen 指出，“[i] 的声音 很容易与小事物联系在一起，[u o a] 与更大的事物联系在一起”。33 他认为这是因为 [i] 的声音是通过向前和向上推动舌头以形成最小的空腔而发出的 在舌头和嘴唇之间，而 [u o a] 音是由降低的舌头产生的，从而产生一个大的口腔。 换句话说，这种声音是舌头和嘴唇做出的身体手势的产物，它们模仿了 正在命名的对象。
Sound synaesthesia was recognized by Otto Jespersen in the 1920s – one of the linguists I referred to in my opening chapter because he also believed that language began from music-like expressions. Jespersen noted that the ‘the sound [i] comes to be easily associated with small, and [u o a] with bigger things’.33 He suggested that this is because the sound [i] is made by pushing the tongue forward and upward to make the smallest cavity between the tongue and the lips, while the [u o a] sounds result from a lowered tongue, which creates a large mouth cavity. In other words, such sounds are the product of physical gestures made by the tongue and the lips, which mimic the size of the object being named.
Jespersen 的说法只不过是一种直觉。但 1920 年代另一位杰出的语言学家爱德华·萨皮尔 （Edward Sapir） 承担了 有趣且非常简单的测试。他编造了两个无意义的词，mil 和 mal，并告诉他的臣民这些是桌子的名称。然后他问他们哪个名字代表更大的桌子，以及 正如 Jespersen 所预测的那样，他们发现几乎所有人都选择了 MAL。
Jespersen’s claim was little more than a hunch. But Edward Sapir, another distinguished linguist of the 1920s, undertook an intriguing and quite simple test. He made up two nonsense words, mil and mal, and told his subjects that these were the names of tables. He then asked them which name indicated the larger table and found, as Jespersen had predicted, that almost all of them chose mal.
声音和大小之间的这种联系是否在现代人类的传统民族对动物的命名中起作用 世界？佐治亚大学的民族生物学家布伦特·柏林 （Brent Berlin） 最近研究了秘鲁的 Huambisa 和 马来西亚的马来语用于鱼。他选择鱼是为了避免对名字可能产生的任何拟声词影响 起源。在这两种语言中，他发现鱼的大小和元音类型之间存在非常显着的关联 用于他们的名字。34 那些体型较小的人更有可能使用元音 [i] 命名，而那些体型相对较大的人则 更有可能使用元音 [E A O U]。由于 Huambisa 人和马来人生活在地球的两边，这不太可能 元音使用的这种相似性可能源于共同的祖先语言。
Could this association between sound and size play a role in the naming of animals by traditional peoples in the modern human world? Brent Berlin, an ethnobiologist from Georgia University, recently examined the names that the Huambisa of Peru and the Malay of Malaysia use for fish. He chose fish so as to avoid any onomatopoeic influence over how the names might have originated. In both languages he found a very significant association between the size of the fish and the types of vowels used in their names.34 Those that are small in size are more likely to have names using the vowel [i], while those that are relatively large are more likely to use the vowels [e a o u]. As the Huambisa and Malay live on opposite sides of the planet, it is very unlikely that such similarities in vowel use could have originated from a shared ancestral language.
在 Huambisa 使用的鸟名以及其他三种完全不相关的语言中，包括 Tzeltal 的 Tzeltal 语言中，也发现了大小和元音使用之间的相同关联 墨西哥。Berlin 还研究了用于貘（一种大型、缓慢移动的动物）和 squirrel（快速且 小，以 19 种南美语言编写。在其中 14 个中，貘的名称涉及 [e a o u] 元音，而 [i] 被用于松鼠的名字中。昆虫、青蛙和蟾蜍的名称似乎显示出相同的模式，尽管在这些 案例拟声词起主导作用。
The same association between size and vowel use was found among the bird names used by the Huambisa, as well as in three other, entirely unrelated languages, including that of the Tzeltal of Mexico. Berlin also investigated the words used for tapir, a large, slow-moving animal, and for squirrel, which is quick and small, in nineteen South American languages. In fourteen of these, the names for tapir involved [e a o u] vowels, while [i] was used in the squirrel names. The names of insects, frogs and, toads appear to show the same patterns, although in these cases onomatopoeia plays a dominant role.
拟声词和声音联觉可能不是动物命名中起作用的唯一普遍原则。鸟名 的 Huambisa 往往具有相对大量的声学高频段，这似乎表示 快速而快速的动作，或者柏林所说的“鸟性”。相比之下，鱼名的频次较低，即 平滑、缓慢、连续流动的含义 – “鱼性”。
Onomatopoeia and sound synaesthesia may not be the only universal principles at work in the naming of animals. The bird names of the Huambisa tend to have a relatively large number of segments of acoustically high frequency, which appear to denote quick and rapid motion, or what Berlin calls ‘birdness’. In contrast, fish names have lower frequency segments, which have connotations of smooth, slow, continuous flow – ‘fishness’.
为了进一步发展他的工作，Berlin 测试了说英语的学生是否能够区分 Huambisa 鸟和鱼的名字。在一项实验中，他选取了 16 对单词——一对是鸟的名字，另一对是鱼的名字 ——并要求 600 名学生猜出哪个是哪个。一对是 chunchuikit 和 màuts;另一对是 iyàchi 和 àpup。他们的猜测正确率明显高于仅凭偶然预期的。在某些情况下几乎 所有学生都正确地猜出了哪个是哪个;98% 的人正确地认为 chunchutkit 表示鸟，màuts 表示鱼。在更大的鸟-鱼词对样本上重复该实验，得到类似的结果，并且 貘和松鼠的名字。一般来说，我们似乎可以直观地识别属于某些类型的名称 在我们非常陌生的语言中，通过在单词的声音和 动物的身体特征。
To develop his work further, Berlin tested whether English-speaking students would be able distinguish between the Huambisa bird and fish names. In one experiment, he took sixteen pairs of words – one the name of a bird and the other that of a fish – and asked 600 students to guess which was which. One such pair was chunchuikit and màuts; another was iyàchi and àpup. Their guesses were correct at a significantly higher rate than would have been expected by chance alone. In some cases almost all of the students correctly guessed which was which; 98 per cent rightly thought that chunchutkit denoted a bird and màuts a fish. The experiment was repeated on a much larger sample of bird-fish word pairs, with a similar result, and with the names for tapir and squirrel. In general, it appears that we can intuitively recognize the names belonging to certain types of animals in languages that are quite unfamiliar to us, by making an unconscious link between the sound of the word and the physical characteristics of the animal.
这一发现挑战了语言学最基本的主张之一：实体与 它的名字。例如，“狗”这个词经常被用来证明这种随意性，因为它既不看起来也不听起来 像狗一样;法语单词 chien、德语单词 hund 或马来语单词 anjing 也没有。然而，柏林的工作表明，用于动物的名称通常不完全是任意的，而是反映了固有的 相关动物的特性，包括它们发出的声音（拟声词）、它们的大小和它们的移动方式。这 Huambisa 的鸟名似乎来自所有这些特性的丰富混合。
This finding challenges one of the most fundamental claims of linguistics: that of the arbitrary link between an entity and its name. The word ‘dog’, for instance, is often cited to demonstrate this arbitrariness because it neither looks nor sounds like a dog; and neither does the French word chien, the German word hund, or the Malay word anjing. Berlin’s work, however, has shown that the names used for animals are frequently not entirely arbitrary but reflect inherent properties of the animals concerned, including the sounds they make (onomatopoeias), their size, and the way they move. The bird names of the Huambisa appear to derive from a rich mixture of all such properties.
这对早期人类的 “Hmmmm” 话语的影响是深远的。尽管早期人类不太可能有名字 对于他们周围的动物来说，他们不仅会通过模仿它们的叫声来指代这些动物，还会使用 捕捉他们身体特征的声音手势。当他们谈论移动缓慢的猛犸象时，我们可以想象他们使用声学话语 与高频和 [a]、[o] 和 [u] 元音形成对比，与高频话语和用于指代的元音 [i] 形成对比 到动物，如窜来窜去的小型啮齿动物或飞翔的鸟类。
The implications for Early Human ‘Hmmmm’ utterances are profound. Even though Early Humans are unlikely to have had names for the animals around them, they would have referred to such animals not only by mimicking their calls but also by using vocal gestures that captured their physical characteristics. When they were communicating about the slow-moving mammoths we can imagine them using acoustic utterances with low frequencies and [a], [o] and [u] vowels, in contrast to high-frequency utterances and the vowel [i] used to refer to animals such as small scurrying rodents or flitting birds.
如果早期人类以我提议的方式模仿动物的运动和声音，我们也许应该重新描述 他们的通信系统从 'Hmmmm' 到 'Hmmmmm， Holistic， manipulative， multi-m odal， musical 和 mimetic。它的本质是大量的整体话语，每一种话语本身都是一个完整的信息 而不是作为可以组合以产生新含义的词。
If Early Humans were mimicking the movements and sounds of animals in the manner I have proposed, we should perhaps recharacterize their communication system from ‘Hmmmm’ to ‘Hmmmmm, Holistic, manipulative, multi-modal, musical and mimetic. Its essence would have been a large number of holistic utterances, each functioning as a complete message in itself rather than as words that could be combined to generate new meanings.
早期人类整体话语
Early Human holistic utterances
我为早期人类建议的交流系统类型是一种仍然缺乏单词和语法的系统，并且仍在继续 遵循 Alison Wray 对原始语言性质的论点。说出或手势的每个整体消息字符串 早期人类将具有操纵功能，例如问候、警告、命令、威胁、请求、 安抚等等。35 然而，这是一个比她提出的要复杂得多的通信系统—— ;一个不仅使用手势，而且 舞蹈，以及一个广泛使用 6F 节奏、旋律、音色和音高的舞蹈，特别是用于情绪状态的表达。
The type of communication system I am suggesting for Early Humans is one that still lacks words and grammar, and which continues to follow Alison Wray’s arguments for the nature of proto-language. Each holistic message string that was spoken or gestured by an Early Human would have had a manipulative function, such as greeting, warning, commanding, threatening, requesting, appeasing and so forth.35 It is, however, a rather more elaborate communication system than she proposed – ; one that uses not only gesture but also dance, and one with extensive use 6f rhythm, melody, timbre and pitch, especially for the expression of emotional states.
对于狩猎和采集，“Hmmmmm”可能包含表示“与我一起猎鹿”或“与我一起猎马”的话语。 要么是两个完全独立的话语，要么是“与我一起狩猎动物”的一句话，并伴有 特别的动物。其他短语可能包括，例如，'meet me at the lake'、'bring spears'、'make 手斧“或”与......分享食物”然后指向某个人或该人的模仿者。
For hunting and gathering, ‘Hmmmmm’ might have included utterances that meant ‘hunt deer with me’ or ‘hunt horse with me’, either as two completely separate utterances, or else as one phrase of ‘hunt animal with me’ accompanied by mimesis of the particular animal concerned. Other phrases might have included, for example, ‘meet me at the lake’, ‘bring spears’, ‘make hand-axes’, or ‘share food with …’ followed by a pointing gesture towards an individual or mimesis of that individual.
正如雷所解释的，海德堡人和其他早期人类可能有很多整体信息，从一般的 “来到这里 ”到更具体的 “去打猎我五分钟前在山顶的石头后面看到的那只野兔。”此类短语的主要特点是 它们不是由单个元素构成的，而是由可以按不同顺序重新组合的单个元素构成的 不同的元素，以便制作新消息。每个乐句都是一个不可分割的单元，必须学习、说出 并被理解为单个声学序列。
As Wray has explained, Homo heidelbergensis and other Early Humans could have had a great many holistic messages, ranging from the general ‘come here’ to the more specific ‘go and hunt the hare I saw five minutes ago behind the stone at the top of the hill’. The key feature of such phrases is that they would not have been constructed but of individual elements that could be recombined in a different order and with different elements so as to make new messages. Each phrase would have been an indivisible unit that had to be learned, uttered and understood as a single acoustic sequence.
正如 Wray 指出的那样，这种类型的通信系统的固有弱点是消息的数量总是 受到限制。由于每条信息必须代表不同的事物并且在语音上不同，因此整体通信系统中的信息数量受到说话者发音能力的限制。 以及听众感知到的，足够的语音区别。早期人类的记忆容量，我假设是 与我们的类似，会施加额外的限制;他们的长期记忆会限制 String 的数量 被召回，而他们的短期记忆会限制每个字符串的长度。如果使用整体短语，但不足 频率，他们只会从内存中消失并丢失。同样，引入新短语也会很缓慢和困难 因为它将依赖于足够数量的个体来学习新话语和对象之间的关联 以及他们相关的活动。因此，“嗯嗯”通信系统将由话语主导 描述频繁且相当一般的事件，而不是日常活动的细节。
As Wray points out, the inherent weakness of a communication system of this type is that the number of messages will always be limited. Since each message must represent something different and be phonetically distinct, the number of messages within a holistic communication system is constrained by the ability of the speakers to pronounce, and of the hearers to perceive, sufficient phonetic distinctions. The memory capacities of Early Humans, which I assume were similar to ours, would have imposed additional constraints; their long-term memory would limit how many strings could easily be recalled, while their short-term memory would constrain the length of each string. If holistic phrases were used with insufficient frequency they would simply drop out of memory and be lost. Similarly, the introduction of new phrases would be slow and difficult because it would rely on a sufficient number of individuals learning the association between the new utterances and the objects and activities to which they related. The ‘Hmmmmm’ communication system would, therefore, have been dominated by utterances descriptive of frequent and quite general events, rather than the specifics of day-to-day activity.
鉴于这些限制，雷认为，一个整体的通信系统将煽动和维护保守主义 以一种由词语和语法规则构成的语言所不会的方式进行思想和行为。正是这种认可 这使得她的建议如此适用于早期人类，因为这些物种确实在整个过程中明显缺乏创新 它们存在于 1.8 到 25 万年前。他们的石器保持不变，范围极其有限; 在北方地区依赖狩猎的早期人类中没有弓箭技术和石尖长矛 令人震惊。完全没有建造小屋和将骨头雕刻成工具等行为，更不用说雕刻了 物体或粉刷洞穴墙壁。虽然使用了火，但即使是最基本的壁炉的建造证据仍然存在 极具争议性。36 元
In view of such constraints, Wray has argued that a holistic communication system would instigate and preserve conservatism in thought and behaviour in a manner that a language constituted by words and grammatical rules would not. It is this recognition that makes her proposals so applicable to Early Humans because those species did indeed show a marked lack of innovation throughout their existence between 1.8 and 0.25 million years ago. Their stone tools remain unchanged and extremely limited in range; the absence of bow and arrow technology and stone-tipped spears among Early Humans who relied on hunting in northern landscapes is striking. There is a complete absence of behaviours such as constructing huts and carving bone into tools, let alone engraving objects or painting cave walls. Although fire was used, evidence for the construction of even the most basic fireplace remains highly contentious.36
在 Bilzingsleben 的表演
Performance at Bilzingsleben
为了结束本章，我们将看看欧洲最有趣的中更新世遗址之一，即 Bilzingsleben 在德国南部。37 这里距离舍尼根大约五十公里，居住着海德堡人，他们过着同样类型的狩猎和采集生活方式，大约在人类史前时期的同一时期，或多或少 50 千年，就像那些制造木矛的早期人类一样。自 1970 年代后期由 Dietrich Mania 挖掘，该遗址 已经产生了大量的动物骨骼、植物遗骸和石制品，以及一些早期人类的碎片。 被占用时，该地点位于橡树林中，靠近部分淤塞的湖岸。居住者似乎 猎杀马鹿，从犀牛和大象的尸体中搜刮。当地可用的宝石只有小颗子 结 节。因此，重型工具是由似乎很容易获得的巨大大象和犀牛骨制成的。这些被砸碎了 木制和石砧，然后削片以产生坚固的边缘，可用于刮擦皮肤和其他 任务。因此，骨头不是被雕刻的，而是被当作石头来对待——这进一步反映了 早期人类思想。
To conclude this chapter we will look at one of the most interesting of Middle Pleistocene sites in Europe, that of Bilzingsleben in southern Germany.37 This is approximately fifty kilometres from Schöninigen and was occupied by Homo heidelbergensis, living the same type of hunting and gathering lifestyle, at about the same date in human prehistory, give or take fifty thousand years, as those Early Humans who made the wooden spears. Excavated since the late 1970s by Dietrich Mania, this site has produced a vast quantity of animal bones, plant remains and stone artefacts, along with a few fragments of Early Humans. When occupied, the site was within oak woodland and close to the shore of a partly silted-up lake. The occupants appear to have hunted red deer and scavenged from the carcasses of rhinos and elephants. The locally available stone only came in small nodules. As a consequence, heavy-duty tools were made from the massive elephant and rhino bones that appear to have been readily available. These were smashed across wooden and stone anvils, and then chipped in order to produce robust edges that could be used for scraping skins and other tasks. Thus, rather than being carved, bone was treated as if it were stone – a further reflection of the conservatism of Early Human thought.
Bilzingsleben 似乎非常！对于海德堡人来说，这里是一个有吸引力的地方，因为他们留下的大量动物骨头没有食肉动物的啃咬痕迹，这表明这种动物 附近没有。1999 年，当我有幸参观了 Dietrich Mania 和他的 德国南部平缓乡村景观的发掘。他向我展示了一些有趣的动物骨头碎片，这些骨头上装有 石刀切割出近乎平行的条纹，他声称这是有意制造的象征性代码的一部分。狂热 还重建了他 20 年前挖掘的三个圆形骨头排列中的一个。这些有趣的 特征直径约 5 米，由犀牛下巴和大象大腿骨等骨骼制成，完全独一无二 在此期间。Mania 将它们解释为防风林的基础，或者可能是小屋。一个包含散落的木炭碎片， 这可能是壁炉的残余物。我不相信，其他人也质疑 Mania 的解释。
Bilzingsleben appears to have been a very! attractive locale for Homo heidelbergensis, for the large quantity of animal bones they left behind have no gnaw-marks from carnivores, suggesting that such animals were absent from the vicinity. It was also attractive in 1999, when I was fortunate enough to visit Dietrich Mania and his excavations in the gentle rural landscape of southern Germany. He showed me some intriguing pieces of animal bones that carried near-parallel striations incised by stone blades, which he claimed were part of an intentionally made symbolic code. Mania also reconstructed one of the three circular arrangements of bone that he had excavated twenty years before. These intriguing features, approximately five metres across and made from bones such as rhino jaws and elephant thigh bones, are entirely unique for this period. Mania interprets them as the bases of windbreaks or, perhaps, huts. One contained a scatter of charcoal fragments, which may have been the remnants of a hearth. I wasn’t convinced, and others have also questioned Mania’s interpretations.
伦敦皇家霍洛威学院（Royal Holloway College）考古学教授克莱夫·甘布尔（Clive Gamble）提出了批评，他质疑 形成圆形图案的骨头确实是彼此现代的。其他人则认为这些戒指是制造的 在洪水时从湖水和河流中漩涡中流出。甘布尔还拒绝了那些占领 Bilzingsleben 的人 故意切开骨头，建造小屋和防风林，并建造壁炉;他认为，散落的木炭是， 从一棵烧焦的树上。
One critique came from Clive Gamble, professor of archaeology at Royal Holloway College, London, who questioned whether the bones that form the circular patterns really are contemporary with each other. Others have suggested that the rings were made by swirling waters from the lake and river at times of flood. Gamble also rejected the idea that those who occupied Bilzingsleben had intentionally incised bone, constructed huts and windbreaks, and built hearths; the scatter of charcoal was, he suggested, from a burnt tree.
甘布尔认为，Mania 和许多其他考古学家太热衷于在考古学中寻找类似现代人的行为 早期人类的记录。因此，他们过度准备将遗址上的考古遗迹解释为小屋、壁炉 以及其他特征，例如在现代狩猎采集者的露营地上发现的 ！龚。
Gamble thinks that Mania and many other archaeologists are too keen to find behaviour like that of modern humans in the archaeological record of Early Humans. As a consequence, they are overly ready to interpret archaeological remains on sites as huts, fireplaces and other features such as one finds on the campsites of modern hunter-gatherers such as the !Kung.
然而，Gamble 并没有简单地拒绝 Mania 的解释，而是使用 Bilzingsleben 来说明社交的类型; 他为海德堡人设想的生活——一种由个体之间的许多小接触构成的生活。在 Bilzingsleben，Gamble 认为最重要的社交 ACT 正在设置铁砧：
Rather than simply rejecting Mania’s interpretation, however, Gamble used Bilzingsleben to illustrate the type of social; life that he envisages for Homo heidelbergensis – one constituted by many minor encounters between individuals. At Bilzingsleben, Gamble believes that the most important social act was setting up the anvil:
将铁砧抬上几米或几百米意味着结构化活动的开始，有节奏的开始 手势，以及对于考古学家来说，可能幸存下来的图案的可能性。现在，聚集开始于产生空间的物质作用 以及对社会互动的时间影响。他们曾经坐在树下或烧焦的遗骸旁边 堕落和被烧毁，这些是传技、在铁砧上折断骨头、敲打石头、脱衣的地方 肉、分享、进食、有节奏地敲击骨头以形成图案，偶尔在骨头上产生有序的切割痕迹 表面。38 元
Carrying the anvil a few metres or a few hundred signified the commencement of structured activity, the start of rhythmic gesture and, for the archaeologist, the possibility of patterns that might survive. The gathering now began as a result of the material action that produced spatial and temporal consequences for social interaction. Sitting beneath the trees or beside their charred remains once they had fallen and been burnt, these were the places for transmitting skills, breaking bones on the anvils, knapping stones, stripping flesh, sharing, eating, rhythmically striking bones to form patterns and occasionally producing ordered cut marks on their surfaces.38
我发现这比刻在上面的小屋、壁炉和象征性代码更有说服力 骨头碎片。但甘布尔的解释也集中体现了当前考古学解释的另一个弱点——它 太安静了。我想在这个场景中补充的是所使用的类似音乐、充满情感的 “嗯嗯 ”发声 作为他们社交互动的一部分。我还想添加身体手势、模仿和类似舞蹈的动作 ——总而言之，这是一种高度进化的“嗯嗯”通信形式。
I find this a more persuasive interpretation of the Bilzingsleben evidence than huts, hearths and symbolic codes incised on pieces of bone. But Gamble’s interpretation also epitomizes another weakness of current archaeological interpretations – it is much too quiet. What I would like to add to this scenario are the music-like, emotion-laden ‘Hmmmmm’ vocalizations used by Early Humans as part of their social interactions. I would also like to add body gestures, mimesis, and dance-like movements – in all, a highly evolved form of ‘Hmmmmm’ communication.
正如 Mania 和 Gamble 所认识到的那样，食肉动物的安全将允许相对较大的聚会和长期逗留 在中更新世地区。Bilzingsleben 本来是一个个人和小团体出发的地方 用于狩猎旅行，很可能使用类似 Schöningen 的长矛。因此，很可能有大量的 “嗯嗯” 通信 涉及与动物、鸟类和自然世界的声音有关的哑剧、声音模仿和声音通感 通常。它也可能是猎人返回的地方，以寻求帮助寻找尸体或分享肉类 在杀戮之后。
As both Mania and Gamble recognize, security from carnivores would have allowed for relatively large gatherings and long stays at a Middle Pleistocene locale. Bilzingsleben would have been a site from which individuals and small groups would set off for hunting trips, most probably using Schöningen-like spears. Hence a great deal of the ‘Hmmmmm’ communication is likely to have involved mime, vocal imitations and sound synaesthesia relating to animals, birds and the sounds of the natural world in general. It would also have been a site to which hunters returned to elicit help in locating a carcass or to share meat following a kill.
一旦从这个角度考虑，圆形特征就会对另一种解释开放。而不是偶然 漩涡状水的产物或考古学家的挖掘方法的产物，或者防风林或小屋的基地，它们只是 成为划定的表演空间。早期人类有没有可能踏入这样的空间唱歌跳舞，以 通过哑剧讲故事，以娱乐和吸引人——也许这样做不仅是为了获得狩猎方面的帮助，而且 吸引伴侣？最后一种可能性，即利用音乐来吸引异性成员，是我下一个的主题 章。
Once thought of in this light, the circular features become open to another interpretation. Rather than being the accidental products of swirling water or of the excavation methods of archaeologists, or the bases of windbreaks or huts, they simply become demarcated spaces for performance. Is it possible that Early Humans stepped into such spaces to sing and dance, to tell stories through mime, to entertain and enthral – and perhaps did so not only to elicit assistance in hunting but also to attract a mate? This last possibility, the use of music to attract members of the opposite sex, is the subject of my next chapter.
12 为性歌唱
12 Singing for sex
音乐是性选择的产物吗？
Is music a product of sexual selection?
维瓦尔第为小号与管弦乐队而作的降B大调协奏曲：Homo heidelbergensis的成员炫耀他制作的手斧
Vivaldi’s Concerto in B flat major for trumpet and orchestra: a member of Homo heidelbergensis showing off a hand-axe he has made
本章是关于歌唱、性和早期人类社区的社会组织。我们已经研究了 南方古猿和最早的 Homo 的发声可能通过它们对情绪状态的影响在创建和操纵社会关系方面很重要。我们 还看到了两足行走如何通过提供更大的时间控制来增强此功能，从而导致更有节奏的 发声和更精细地使用身体作为交流媒介，而模仿可能至关重要 有关自然世界的信息传递。
This chapter is about singing, sex, and the social organization of Early Human communities. We have already examined how melodious vocalizations by australopithecines and the earliest Homo may have been important in creating and manipulating social relationships through their impact upon emotional states. We have also seen how bipedalism may have enhanced this function by providing greater temporal control, leading to more rhythmic vocalizations and a more elaborate use of the body as a medium for communication, while mimesis could have been crucial for the transmission of information about the natural world.
我们现在需要研究“Hmmmmm”的音乐方面是如何在早期人类社会中进一步发展的，因为 它们直接使那些愿意和/或能够参与此类交流的人受益。在这里，我所说的“好处” 平均繁殖成功率;我们必须解决的问题是，那些能够详细阐述《Hmmmmm》音乐方面的人是否 在早期人类社会的配偶竞争中获得了优势。
We now need to examine how the musical aspects of ‘Hmmmmm’ may have become further developed within Early Human society because they directly benefited those who were willing and/or able to engage in such communication. By ‘benefit’ in this context I mean reproductive success; the question we must address is whether those who could elaborate the musical aspects of ‘Hmmmmm’ gained advantage in the competition for mates in Early Human society.
性选择的原则
The principles of sexual selection
音乐长期以来一直与性联系在一起，无论我们处理的是李斯特还是麦当娜的作品。这个现代角色是 音乐告诉我们一些关于音乐容量是如何演变的？查尔斯·达尔文（Charles Darwin）是这么认为的：“看来 人类的祖先，无论是男性还是女性，或两性，在获得表达相互爱的能力之前 清晰的语言，努力用音符和节奏来吸引彼此”。1
Music has long been associated with sex, Whether we are dealing with the works of Liszt or Madonna. Is this modern role of music telling us something about how the capacity for music evolved? Charles Darwin thought so: ‘it appears probable that the progenitors of man, either the males or females or both sexes, before acquiring the power of expressing mutual love in articulate language, endeavoured to charm each other with musical notes and rhythm’.1
这个命题来自达尔文的《人类的起源和与性别相关的选择》（1871 年），其中描述了他的性选择理论——许多人认为这个理论与 自然选择，如《物种起源》（1859 年）中所述。性选择的本质很简单，配偶选择是繁殖成功的关键因素，因为你的后代会继承你选择的配偶的部分或全部外表和行为。这很重要，因为如果您的基因是 为了传播给后代，你需要有自己能够繁殖的后代;他们必须有生育能力， 健康，并且能够在配偶的竞争中取得成功。由于复制成本要高得多 对于雌性比雄性，并且由于它们在一生中产生后代的机会相对较少，因此雌性应该 对它们与谁交配比雄性更挑剔。这些简单的生物学事实的力量在于，很多关于 动物物种的外表和求偶行为在进化论的框架内变得可以解释： 这些特征的存在只是为了使动物，尤其是雄性动物，对相反的成员有吸引力 性。
This proposition comes from Darwin’s The Descent of Man, and Selection in Relation to Sex (1871), in which his theory of sexual selection was described – a theory that many believe to be as important as that of natural selection as described in The Origin of Species (1859). The essence of sexual selection is simply that mate choice is a key element in reproductive success, as your offspring will inherit some or all of your chosen mate’s looks and behaviour. This is significant because if your genes are to spread into future generations, you need to have offspring who will themselves be able to reproduce; they must be fertile, healthy and be able themselves to succeed in the competition for mates. As the cost of reproduction is substantially higher for females than for males, and as they have relatively few chances to produce offspring during their lifespan, females should be far more choosy about whom they mate with than males. The power of these simple biological facts is that a great deal about the appearance and the courtship behaviour of animal species becomes explicable within the framework of evolutionary theory: these characteristics are there simply to make the animal, especially the male animal, attractive to members of the opposite sex.
在 1930 年代，遗传学家 RA Fisher 发展了达尔文的性选择理论，提出了“失控”的性行为 选择。费舍尔建议，如果一个可遗传的配偶偏好——例如，偏好大于平均水平的尾巴 – 变得与可遗传性状本身的遗传相关 – 在这种情况下是更大的尾巴 – 然后是正反馈 循环将出现，因此 tails 最终会变得比预期的要长得多。这个失控的选择 可以解释天堂鸟极其精致的羽毛或奢华的求偶表演等特征 琴鸟。
In the 1930s, the geneticist R. A. Fisher developed Darwin’s theory of sexual selection with the idea of ‘runaway’ sexual selection. Fisher suggested that if a heritable mate preference – for example, the preference for a larger than average tail – becomes genetically correlated with the heritable trait itself – in this case the larger tail – then a positive feedback loop will arise so that tails will eventually become far longer than would otherwise have been expected. This runaway selection may account for such features as the remarkably elaborate plumage of birds of paradise or the extravagant courtship displays of the lyre bird.
对于许多学者来说，性选择作为一种进化力量的重要性直到 1970 年代后期才变得明显。 当 Amotz Zahavi 引入“差点原则”时。这在他 1997 年的同名书中得到了进一步发展，该书 的副标题是 A Missing Piece of Darwin's Puzzle。2 扎哈维已经认识到，要使身体或行为特征成功地吸引异性成员，它必须 对持有者施加实际成本。换句话说，它必须对持有者自身的生存构成潜在的障碍。 否则，拥有这样的特征可能是伪造的，使其完全不起眼。
For many academics, the significance of sexual selection as an evolutionary force only became apparent in the late 1970s, when Amotz Zahavi introduced the ‘handicap principle’. This was further developed in his 1997 book of the same name, which had the provocative sub-title A Missing Piece of Darwin’s Puzzle.2 Zahavi had recognized that for a physical or behavioural trait successfully to attract a member of the opposite sex, it had to impose an actual cost on the bearer. In other words, it must constitute a potential handicap to the bearer’s own survival. Otherwise, the possession of such a trait could be faked, making it wholly unimpressive.
装饰扎哈维书封面的孔雀尾巴就是典型的例子。其令人印象深刻的尺寸带来了能源成本 在携带者身上并增加捕食的风险：尾巴越大，鸟就越引人注目，速度也就越慢 逃离危险情况。此外，要拥有一个精致的尾扇，孔雀必须将自己保持在 健康状况良好;它必须善于寻找有营养的食物和对抗寄生虫。所以，用性选择的说法来说 理论上，一条大而五颜六色的孔雀尾巴是特别好基因的“可靠指标”，因为没有这样的基因 这条尾巴的持有者要么被捕食，要么无法维持它精致的本质。
The peacock’s tail that adorns the cover of Zahavi’s book is the classic example. Its impressive size imposes an energy cost on the bearer and increases the risk of predation: the larger the tail, the more noticeable the bird, and the slower it will be at escaping from dangerous situations. Moreover, to possess an elaborate tail fan, the peacock has to maintain itself in a healthy condition; it has to be good at finding nutritious food and fighting parasites. So, in the parlance of sexual selection theory, a large and colourful peacock’s tail is a ‘reliable indicator’ of particular good genes, since without such genes the bearer of this tail would either have been preyed upon or else would not have been able to sustain its elaborate nature.
在现代性选择理论中，区分了“指标”和“审美”特征。后者是身体上的;或利用这些人的感知偏差的行为特征 寻找伴侣。例如，一种特定种类的鸟类的饮食可能以红色浆果为主，因此进化出了眼睛 对红色高度敏感，大脑也被红色所吸引。这种知觉偏差可能会使 选择羽毛为红色而不是绿色、黄色或蓝色的配偶的鸟。因此，红色羽毛会在 鸟类数量是饮食中红色浆果占主导地位的副作用。3
In modern sexual selection theory, a distinction is drawn between ‘indicator’ and ‘aesthetic’ traits. The latter are physical; or behavioural characteristics that exploit the perceptual biases of those looking for mates. For example, a particular species of bird may have a diet dominated by red berries and hence evolve eyes with a high sensitivity to red as well as a brain that is attracted to that colour. This perceptual bias may then predispose the bird to choose mates that have red, rather than green, yellow or blue, plumage. So red plumage would evolve within the bird population as a side effect of the predominance of red berries in the diet.3
当达尔文在 1871 年写到性选择的重要性时，失控选择的概念、障碍和 指标和审美特征尚未开发。尽管如此，他提出了一个强有力的论点，即性选择解释了 自然界中的许多多样性。他用了大量的篇幅来描述鸟鸣，因为他很清楚 这主要由雄性在繁殖季节进行。到 19 世纪后期，博物学家已经意识到 这样的歌唱一定是有目的的，他们认为这代表了男性之间的一种领土竞争形式。 然而，达尔文认为，雄性鸟鸣是通过女性选择的机制进化而来的：“真正的歌声......大多数鸟类和 各种奇怪的叫声主要在繁殖季节发出，作为一种魅力，或者仅仅作为一种呼唤 其他性别“4 他继续解释说，”除非女性能够欣赏这种声音并被它们所吸引和吸引， 雄性坚持不懈的努力，以及通常由他们独自拥有的复杂结构，将是无用的;这就是 难以置信”。5
When Darwin was writing about the significance of sexual selection in 1871 the notions of runaway selection, handicaps, and indicator and aesthetic traits had not been developed. Nevertheless he made a powerful argument that sexual selection explains much of the diversity within the natural world. He devoted a significant number of pages to birdsong, being well aware that this is principally undertaken by males during the breeding season. By the late nineteenth century, naturalists had realized that such singing must have a purpose, and they assumed that it represented a form of territorial competition between males. Darwin, however, argued that male birdsong had evolved via a mechanism of female choice: ‘The true song … of most birds and various strange cries are chiefly uttered during the breedingseason, and serve as a charm, or merely as a call-note, to the other sex’4 He went on to explain that ‘unless females were, able to appreciate such sounds and were excited and charmed by them, the persevering efforts of the males, and the complex structures often possessed by them alone, would be useless; and this is impossible to believe’.5
从鸟鸣到人类音乐
From birdsong to human music
达尔文在他对鸟鸣的研究之后，应用了相同的性选择逻辑来解释人类音乐的起源。 新墨西哥大学（University of New Mexico）的进化心理学家杰弗里·米勒（Geoffrey Miller）逐步分析了达尔文的论点 并声称它们与任何现代进化生物学家使用的一样敏锐和严谨。达尔文指出，这种现象无处不在 在所有已知文化中，儿童音乐能力的自发发展，以及它激发音乐能力的方式 强烈的情感，然后总结道：“所有这些关于音乐和慷慨激昂的演讲的事实都变得可以理解 在一定程度上，如果我们可以假设使用了音乐的音调和节奏;由我们的半人类祖先，在 求爱。6
Darwin followed his study of birdsong by applying the same logic of sexual selection to explain the origin of human music. Geoffrey Miller, an evolutionary psychologist at the University of New Mexico, has analysed Darwin’s arguments step by step and claims that they are as perceptive and rigorous as those used by any modern evolutionary biologist. Darwin noted the ubiquity of music in all known cultures, the spontaneous development of musical abilities in children, and the manner in which it arouses strong emotions, before concluding: ‘All these facts with respect to music and impassioned speech become intelligible to a certain extent, if we may assume that musical tones and rhythm were used ;by our half human ancestors, during the season of courtship.’6
杰弗里·米勒 （Geoffrey Miller） 不仅对达尔文的论点印象深刻，而且通过借鉴失控的思想进一步发展了这些论点 选择和差点原则，以及指标和审美特征。2000 年，他发表了一篇挑衅性的文章 恢复达尔文的明确目标，即人类音乐是由性选择塑造的，起到求爱展示的作用，他认为这个想法一直是 “奇怪地被忽视了”。
Geoffrey Miller was not only impressed with Darwin’s arguments but developed them further by drawing on the ideas of runaway selection and the handicap principle, and of indicator and aesthetic traits. In 2000 he published a provocative article with the explicit goal of reviving Darwin’s suggestion that human music was shaped by sexual selection to function as a courtship display, an idea that he felt had been ‘strangely neglected’.
米勒论点的关键是，如果音乐创作是一种生物适应，那么它必须与配偶吸引有关。 因为它没有提供直接的生存益处。7 我们已经看到，米勒的最后一个断言是完全错误的：我们的祖先和亲戚的音乐性确实 作为传达情感、意图和信息的一种手段，具有相当大的生存价值。在接下来的章节中，我 将探索更多的好处，特别是促进合作的好处。米勒没有体会到这些，他认为 正如达尔文最初提出的，音乐的生物学价值是：一种吸引配偶的手段。这确实可能是更进一步的 其进化历史的因素
The crux of Miller’s argument is that if music-making is a type of biological adaptation, then it must relate to mate-attraction, since it provides no direct survival benefit.7 We have already seen that Miller’s last assertion is quite wrong: the musicality of our ancestors and relatives did have considerable survival value as a means of communicating emotions, intentions and information. In the following chapters I will explore further benefits, notably that of facilitating cooperation. Miller, failing to appreciate these, argues that music’s biological value was just as Darwin originally proposed: a means to attract mates. This may, indeed, have been a further factor in its evolutionary history
对米勒来说，“音乐是一只聪明的、群居的类人猿偶然进入进化仙境时发生的事情。 失控的性选择复杂的声学显示”。8 他认为，唱歌和跳舞构成了那些选择配偶的人（主要是女性）的一系列指标特征： 跳舞和唱歌，揭示健康、协调、力量和健康;声音控制展现自信。不太确定的是， 他认为节奏可能表现出“可靠地对复杂动作进行排序的大脑能力”，而旋律创造力 “掌握现有音乐风格的学习能力和社会智慧，以超越它们，产生最令人兴奋的作品 新奇”。9
For Miller, ‘music is what happens when a smart, group living, anthropoid ape stumbles into the evolutionary wonderland of runaway sexual selection of complex acoustic display’.8 He believes that singing and dancing constituted a package of indicator traits for those choosing mates, predominantly females: dancing and singing revealing fitness, coordination, strength and health; voice control revealing self-confidence. Less certainly, he suggested rhythm might demonstrate ‘brain capacity for sequencing complex movements reliably’, and melodic creativity the ‘learning ability to master existing musical styles and social intelligence to go beyond them in producing optimally exciting novelty’.9
这样的解释是必要的，但它们听起来远不如音乐作为一种求爱形式进化的一般观念那么令人信服 显示。事实上，这就是米勒和他之前的达尔文都面临的困难：试图准确地确定音乐创作的原因 可能受到性选择的影响，这比断言情况确实如此要困难得多。当米勒 从指标转向审美特征，他甚至更没有说服力，对节奏信号如何激发某些人含糊不清的说法 哺乳动物大脑中的神经网络种类 – “音调系统、音高过渡和和弦可能在物理上发挥作用 听觉系统对某些频率关系的响应性“（可以说，这是一个缺乏明确含义的陈述 最少）——以及音乐新奇如何吸引注意力。10
Such explanations are needed, but they sound far less convincing than the general notion that music evolved as a form of courtship display. This is, indeed, the difficulty that both Miller and Darwin before him faced: trying to tie down precisely why music-making might have been subject to sexual selection is far more difficult than making the assertion that this was the case. When Miller turns from indicator to aesthetic traits he is even less persuasive, with vague claims about how rhythmic signals excite certain kinds of neural networks in mammalian brains – ‘tonal systems, pitch transitions, and chords probably play on the physical responsiveness of auditory systems to certain frequency relationships’ (a statement that lacks clarity of meaning, to say the least) – and how musical novelty attracts attention.10
米勒试图从 20 世纪找到证据，证明音乐是性选择的产物。他引用了这个例子 吉米·亨德里克斯 （Jimi Hendrix），他与数百名追随者有过性关系，并有过两次长期关系，并在 二十七岁。虽然已知只有三个孩子是由他的性剥削造成的，但没有（假设的） 使用避孕措施米勒认为，他的基因会在后代中蓬勃发展，这是他音乐创作的直接结果。 当然，与他的音乐的联系是值得怀疑的;亨德里克斯的性吸引力来自于美貌、风格和作为反建制人物的结合，以及任何和弦 他弹吉他。
Miller attempted to find evidence from the twentieth century that music is a product of sexual selection. He cites the example of Jimi Hendrix, who had sexual liaisons with hundreds of groupies, as well as two long-term relationships, and died at the young age of twenty-seven. Although only three children are known to have resulted from his sexual exploits, without the (assumed) use of contraception his genes would have flourished in later generations as a direct consequence, Miller argued, of his music-making. The link to his music is, of course, questionable; Hendrix’s sexual attraction derived from a combination of good looks, style and being an anti-establishment figure as much as from any chords he played on his guitar.
为了找到更实质性的证据，米勒研究了超过 6 人背后的音乐制作人的年龄和性别 来自爵士乐、摇滚乐和古典流派的数千张最新专辑。在每种情况下，雄性产生的音乐至少多出十倍 比雌性高，并且在 30 岁左右生产力最高，米勒声称，这接近交配的高峰期 努力和活动。如果是这样的话，证据就符合我们对性选择行为的期望。 然而，性别和年龄偏差可以用许多其他方式来解释，这与 20 世纪的西方社会 – 女性和老年人几乎没有同样的机会;音乐表现力 和商业成功。
In an attempt to find more substantive evidence, Miller examined the age and sex of the music-makers behind more than six thousand recent albums from the jazz, rock and classical genres. In each case, males produced at least ten times more music than females, and were most productive at around the age of thirty, which, Miller claims, is near the time of peak mating effort and activity. If this is the case, the evidence is compatible with what we would expect from a sexually selected behaviour. The sex and age bias, however, might be explained in many other ways relating to the particular structure and attitudes of twentieth-century Western society – women and older people have hardly had the same opportunities for; musical expression and commercial success.
如果你和我一样，觉得米勒关于音乐起源的想法很有吸引力，他的支持论点很薄弱，他的证据也很脆弱， 那么，你也可能对他完全否定考古学和化石记录作为 证据。他写道，“音乐是 200 年前、000 年前还是 200 万年前进化起来的，这并不重要。11 在这件事上，他完全错了。正如我们很快就会看到的，在人类历史的那个年代，社会的结构非常不同。 影响音乐可能被用作求爱展示形式的可能性。此外，米勒本人也认识到 音乐创作的一个普遍特征与他的理论不相符：在所有已知的社会中 音乐制作经常（如果不是总是）是一项团体活动。12 这是第 14 章的一个问题，该章讨论了音乐在促进合作活动中的作用。但现在我们 必须转向原始人和早期人类社会关系的性质，以检查是否以及何时 音乐能力可能已经发生。
If, like me, you find Miller’s idea about the origin of music attractive, his supporting arguments weak and his evidence fragile, then you, too, may be astonished at his complete dismissal of the archaeological and fossil records as a further source of evidence. He writes, ‘It is just not very important whether music evolved 200, 000 years or 2 million years ago.’11 About this he is utterly wrong. As we will shortly see, society was structured very differently at those dates in human history, affecting the likelihood that music might have been used as a form of courtship display. Moreover, Miller himself recognizes one pervasive characteristic of music-making that sits uncomfortably with his theory: the fact that in all known societies music-making is frequently, if not always, a group activity.12 This is an issue for chapter 14, which addresses the role of music in facilitating cooperative activities. But for now we must turn to the nature of hominid and Early Human social relations in order to examine if and when the sexual selection of musical abilities may have occurred.
非洲猿类的性选择
Sexual selection in the African apes
当我们早期史前时代所剩无几时——零碎的化石骨骼和散落的石制品 – 当我们试图重建原始人交配模式时，一定程度的猜测是不可避免的。但事实上， 化石记录的一些特征表明了早期史前社会生活是如何组织的，并允许我们进行评估 米勒对音乐的性选择假说。这些特征只有在存在一致的关系时才会变得明显 在灵长类动物体型和社会组织之间。因此，在研究化石本身之前，我们必须简要地考虑一下 非洲猿类的社会组织，我们最亲近的亲戚。尽管存在大量变化， 由于体型、生态条件和群体历史的差异，可以得出足够的概括，使古人类学家能够对已灭绝的原始人的社会行为提出令人信服的建议。13
When all that remains from our early prehistoric past is so scanty – fragmented fossil bones and scatters of stone artefacts – some degree of speculation is inevitable when we attempt to reconstruct hominid mating patterns. But there are, in fact, some features of the fossil record that suggest how early prehistoric social life was organized, and which allow us to evaluate Miller’s sexual selection hypothesis for music. These features only become apparent because consistent relationships exist between primate body size and social organization. And so, before examining the fossils themselves, we must briefly consider the social organization of the African apes, our closest living relatives. Although a great deal of variation is present, arising from differences in body size, ecological conditions and group history, sufficient generalizations can be derived to allow palaeoanthropologists to make cogent suggestions about the social behaviour of extinct hominids.13
最初，我们必须注意，性选择可以由灵长类动物交配行为的两个不同方面产生，要么 这两者都可能在任何特定群体中起作用。首先，雄性可以相互竞争交配的机会 与女性。这导致选择特征，例如雄性大体型和大犬齿，并且可能具有攻击性 个性。其次，雌性可以选择它们的交配伙伴，从而选择指标和/或审美 使男性对女性有吸引力的特征。这些可能与雄性-雄性竞争选择的那些特征重叠，例如 作为大体型。
Initially, we must note that sexual selection can arise from two different aspects of primate mating behaviour, either or both of which may be operative in any particular group. First, males can compete with each other for opportunities to mate with females. This results in the selection of traits such as large male body size and large canines, and perhaps aggressive personalities. Secondly, females can choose their mating partners, leading to the selection of the indicator and/or aesthetic traits that make males attractive to females. These may overlap with those traits selected by male-male competition, such as large body size.
黑猩猩生活在由几只雄性和雌性组成的群体中;雄性往往是居民，而雌性则离开了他们的 当她们性成熟时，母亲加入其他群体。大猩猩群体往往只有一个占主导地位的雄性，即银背大猩猩， 年轻的男性离开，组成单身汉团体。他们的群体不会像黑猩猩那样缩小和扩大， 这部分是由于资源分配的变化，部分是由于社会冲突和存在 或没有交配机会。黑猩猩群体通常被称为“派对”;那些定期交换的团体 成员构成了“社区”。队伍本身可以相当分散，尤其是在觅食活动期间，当 一个构件与另一个构件之间可能相距 300 米。
Chimpanzees live in groups composed of several males and females; the males tend to be resident, while the females leave their mothers to join other groups when they are sexually mature. Gorilla groups tend to have a single dominant male, the silverback, with younger males departing to form bachelor groups. Their groups do not shrink and enlarge in the manner of those of chimpanzees, which do so partly in response to changing distributions of resources and partly as a result of social conflict and the presence or absence of mating opportunities. Chimpanzee groups are often referred to as ‘parties’; those groups that regularly exchange members constitute the ‘community’. The parties themselves can be quite spread out, especially during foraging activity, when there can be as much as three hundred metres between one member and another.
在所有三种非洲猿类中，雄性和雌性组成了由三个或更多个体组成的联盟，他们将觅食 一起社交，在冲突中经常互相支持。联盟可以形成联盟。社会紧张局势 并且冲突的可能性始终存在;这些可以通过梳理毛发、分享食物以及倭黑猩猩之间的性行为来缓解。 最后一种形式多种多样，但在女性之间尤为重要，她们会相互摩擦自己的生殖器 以加强友谊。
Among all three species of African apes, the males and females build coalitions of three or more individuals who will forage and socialize together, and who often support each other during conflicts. Coalitions may form alliances. Social tensions and the potential for conflict are always present; these are alleviated by grooming, food sharing and, among bonobos, by sex. This last takes many forms, but is especially important between the females, who engage in the mutual rubbing of their genitals to reinforce friendships.
非洲猿类群落的关键结构原则之一是雄性之间争夺交配机会。这 通常会导致出现一只占主导地位的雄性，他凭借自己的体型获得了大部分交配机会 和力量 – 阿尔法男性。因此，非洲猿类被描述为具有一夫多妻制的交配系统——单身雄性 与多个雌配伙伴——与长臂猿最常采用的一夫一妻制交配系统形成鲜明对比 以及现代西方社会的智人。14 在非洲猿类中，低等级的雄性需要争夺任何可用的交配机会，通常只需要 在男性首领的视线之外找到他们。但由于 Alpha 雄性经常依赖他们的盟友来维持他们的等级，他们可能会奖励他们的支持者交配 女性。15
One of the key structuring principles of African ape communities is competition between males for mating opportunities. This usually results in the emergence of one dominant male who secures the majority of mating opportunities by virtue of his size and strength – the alpha male. African apes are, therefore, described as having a polygynous mating system – single males with multiple female mating partners – in contrast to the monogamous mating systems that are most frequently adopted by gibbons and by Homo sapiens in modern Western society.14 Among the African apes, low-ranking males need to compete for whatever mating opportunities become available, usually only finding them when out of sight of the alpha male. But as alpha males are often dependent upon their allies to maintain their rank, they may reward their supporters with mating access to females.15
非洲类人猿中雌性选择的作用是有争议的，并且可能因物种和生态条件而异。 雄性大猩猩肯定会向雌性展示，但雌性大猩猩能够在多大程度上选择他们的伴侣是值得怀疑的。 尽管如此，银背鹦鹉似乎经常被群体中的雌性“选择”出来，需要她们的支持 保持排名。在 Wamba 的倭黑猩猩中，成年雌性几乎与雄性一样占主导地位，并且似乎会选择他们的 雄性繁殖伙伴没有遇到被拒绝的雄性的任何反对。Mahale 的雌性黑猩猩也有一些 度的选择。他们经常发现自己处于高度分散的队伍中，不得不积极寻找配偶。
The role of female choice among the African apes is contentious, and is likely to vary with species and ecological conditions. Male gorillas certainly display to females, but the extent to which females are able to choose their partners is questionable. Nevertheless, the silverbacks often appear to be ‘chosen’ by the females within the group and to require their support to maintain rank. Among the bonobos at Wamba, the adult females are almost as dominant as the males and appear to choose their male breeding partners without meeting any objection from the rejected males. The female chimpanzees of Mahale also have some degree of choice. They often find themselves in highly dispersed parties and have to search actively for mates.
从古人类学家的角度来看，一夫多妻制交配系统最重要的特征是 性二态性程度，尤其是在体型方面。例如，雄性大猩猩的体型是雌性的两倍， 雄性猩猩也是如此。黑猩猩的平均雄性与雌性体型比约为 1.4：1。这种模式相对 雄性体型大很可能是性选择的结果，通过雄性竞争运作，雌性选择， 或两者的组合。16 智人的等效值为 1.2：1，一夫一妻制长臂猿的等效值为 1.0：1。17
From a palaeoanthropologist’s point of view, the most important feature of polygynous mating systems is a relatively high degree of sexual dimorphism, especially in terms of body size. Male gorillas, for instance, are twice the size of females, as are male orang-utans. Chimpanzees have an average male to female body size ratio of about 1.4:1. This pattern of relatively large male body size is most probably a consequence of sexual selection, operating through male-male competition, female choice, or a combination of both.16 The equivalent value for Homo sapiens is 1.2:1, and for the monogamous gibbons 1.0:1.17
非洲猿类的其他特征也是性别二态的。雄性猿类有用于威胁的大型犬齿 显示，也很可能是性选择的结果。除了大小和牙齿外，雄性还使用发声 恐吓其他男性。我相信，没有任何记录表明男性使用发声作为求偶展示的例子 对女性来说，这对达尔文和米勒的理论来说是不幸的。但这并不是致命的。可能是 song 和 舞蹈只是成为 Homo 谱系中的性选择特征。因此，我们现在必须转向化石记录。
Further characteristics of the African apes are also sexually dimorphic. Male apes have large canines that are used in threat displays and are also most probably a consequence of sexual selection. In addition to size and teeth, males use vocalizations to intimidate other males. There are not, I believe, any recorded instances of males using vocalizations as a courtship display to females, and this is unfortunate for Darwin and Miller’s theory. But it is not fatal. It may be the case that song and dance only became sexually selected traits in the Homo lineage. And so we must now turn to the fossil record.
早期原始人交配模式
Early hominid mating patterns
由于性二态性是一夫多妻制交配系统和性选择的相关性，因此古人类学家可能能够 通过检查骨骼证据并估计男性之间的差异，推断早期原始人是否存在这些 和女性体型。这并不像人们希望的那么容易。体型必须根据个体估计，而且通常是零碎的 骨骼化石，例如来自前臂、腿部、下巴和颅骨的骨骼。幸运的是，古人类学家可以利用 灵长类动物和现代人类个体骨骼大小与整体体型之间存在相关性，尽管这将 总是留下一定程度的不确定性。一个更具挑战性的问题涉及两个或多个样本的比较。如果古人类学家发现两块大小不一的臂骨，则必须确定它们是否来自 （1） 单个性二态物种的成年雄性和雌性;（2） 来自同一物种的成年和幼鱼;(3) 来自两个独立且大小不同的物种;或 （4） 来自生活在不同环境中的同一物种，这些物种具有 影响了它的发育——可能是通过提供不同水平的营养或对爬树的不同要求， 这可能会影响骨骼和肌肉的生长。
As sexual dimorphism is a correlate of polygynous mating systems and sexual selection, palaeoanthropologists may be able to infer the presence of these for early hominids by examining the skeletal evidence and estimating the difference between male and female body size. This is not quite as easy as one would wish. Body size must be estimated from individual and often fragmentary fossil bones, such as those from the forearms, legs, jaws and crania. Fortunately, palaeoanthropologists can make use of the correlations that exist between individual bone sizes and overall body size in primates and modern humans, although this will always leave some degree of uncertainty. A more challenging problem concerns the comparison of two or more specimens. If a palaeoanthropologist finds two arm bones of different sizes, it must be decided whether they come from (1) the adult male and female of a single, sexually dimorphic species; (2) from an adult and a juvenile of the same species; (3) from two separate and differently sized species; or (4) from the same species living in different environments which have affected its development – perhaps by providing different levels of nutrition or different requirements for tree-climbing, which might have then influenced bone and muscle growth.
化石本身可能为得出适当的解释提供一些帮助：骨骺融合将表明 已经达到成年期，而相关的化石物种可能表明原始人是生活在开阔的还是 树木繁茂的环境。但往往没有明确的指导，这就是为什么一些古人类学家得出结论说有 过去有许多原始人物种，而另一些人则认为只有少数形态可变的物种。
The fossils themselves may provide some help in reaching the appropriate interpretation: epiphyseal fusion will indicate that adulthood has been reached, while associated fossilized species may indicate whether the hominid was living in an open or wooded environment. But often there is no clear guidance, and this is why some palaeoanthropologists conclude that there were many hominid species in the past whereas others believe there were only a few morphologically variable species.
加利福尼亚大学（University of California）的人类学家亨利·麦克亨利（Henry McHenry）在试图评估时一直在努力解决这些问题 我们的原始人祖先和亲戚的性二态性程度。18 他测量了大量的肢骨、颌骨和颅骨，然后用这些测量来估计身体 重量。他还研究了犬齿和前肢大小的变化。McHenry 得出结论，性二态性 以露西为代表的 350 万年前的南方古猿比现代人类的南方古猿要大，比黑猩猩的比黑猩猩的要大，但要好 低于在大猩猩和猩猩中发现的。
Henry McHenry, an anthropologist from the University of California, has struggled with such problems while trying to assess the extent of sexual dimorphism in our hominid ancestors and relatives.18 He has measured a large number of limb bones, jaws and crania, and then used these measurements in order to estimate body weight. He has also examined variation in the size of canines and forelimbs. McHenry concluded that the sexual dimorphism of the 3.5 million-year-old Australopithecus afarensis, represented by Lucy, was greater than that present in modern humans and slightly more than that of chimpanzees, but well below that found in gorillas and orang-utans.
对于南方古猿 afarensis，除了收集化石标本外，麦克亨利还有来自 Laetoli 的足迹可供使用。那些脚印 来自三个个体，最大的估计重 40.1 公斤，最小的 27.8 公斤——一个大小比 的 1.44：1。不幸的是，目前尚不清楚这种体型差异是否反映了雄性和雌性之间的差异。 或在成人和青少年之间。
For Australopithecus afarensis, McHenry has the footprint trails from Laetoli to work with, in addition to the collection of fossil specimens. Those footprints came from three individuals, the largest estimated as weighting 40.1 kilograms and the smallest 27.8 kilograms – a size ratio of 1.44:1. Unfortunately, it remains unclear whether this contrast in size reflects the difference between a male and a female, or between an adult and a juvenile.
关于 Australopithecus afarensis 的进一步关键证据来自埃塞俄比亚 Hadar 的 333 化石产地。里面至少有 13 个人的遗骸 他们似乎同时死亡，可能是在一场山洪暴发中——第 9 章中提到的“第一家庭”。在这 5 个 在这一组中，有 3 只相对大，2 只较小。它们的重量从估计的 50 公斤到 33.5 公斤不等 公斤，证实了雄性与雌性的大小比可能为 1.4：1。从牙科来看，类似程度的差异也很明显 仍然存在，但 McHenry 在比较前肢的大小时发现了鲜明的对比。这些建议了体型范围 在 30 到 60 公斤之间，相当于今天大猩猩中发现的体重，它们具有最大程度的性二态性 任何现存的灵长类动物。
Further key evidence regarding Australopithecus afarensis comes from the fossil locality known as 333 at Hadar in Ethiopia. This contained the remains of at least thirteen individuals who appear to have died at the same time, perhaps in a flash flood – the ‘first family’ mentioned in chapter 9. Of the five clear adults within this group, three were relatively large and two small. They ranged from an estimated 50 kilograms to 33.5 kilograms, confirming a likely male to female size ratio of 1.4:1. A similar degree of difference was apparent from the dental remains, but McHenry found a striking contrast when he compared the size of the forelimbs. These suggested a body size range between 30 and 60 kilograms, equivalent to that found among gorillas today, which have the largest degree of sexual dimorphism of any living primate.
麦克亨利得出结论，南方古猿生活在具有一夫多妻制交配系统的群体中，其中雄性竞争的程度没有所见的那么激烈 在现代黑猩猩和大猩猩中。他认为，大前肢可能是用两足行走来解释的——现在 他们不再被用于运动，他们可能已经取代了以前扮演的威胁和侵略的角色 被犬类所吸引。
McHenry concluded that Australopithecus afarensis lived in groups with a polygynous mating system in which the degree of male-male competition was less intense than that seen among modern-day chimpanzees and gorillas. He suggested that the large forelimbs might be explained by bipedalism – now that they were no longer being used for locomotion they may have taken over the role of threat and aggression previously played by the canines.
麦克亨利研究了其他南方古猿物种和最早的人类的骨骼遗骸。他发现每只猫的雄性与雌性大小比都在 1.4：1 左右，这表明一夫多妻制的交配系统。在所有 因此，他们的社会可能存在男性与男性的竞争和/或女性选择，从而导致性选择。 这增加了性选择的声音展示的可能性——我们必须记住，半两足南方古猿 与今天在非洲猿类中发现的发声相比，最早的 Homo 可能具有更大的发声范围（见章节 此外，随着完全两足 Homo ergaster 的进化，这些将变得更加复杂。但该物种带来了性二态性程度的巨大变化，使人们质疑性选择是否 仍然是一股强大的进化力量。
McHenry studied the skeletal remains of other australopithecine species and the earliest Homo. He found that each had male to female size ratios around the 1.4:1 mark, suggesting a polygynous mating system. In all of their societies, therefore, male-male competition and/or female choice is likely to have existed, resulting in sexual selection. This raises the possibility of sexually selected vocal displays – we must remember that the semi-bipedal australopithecines and earliest Homo are likely to have had an enhanced range of vocalizations compared with that found in the African apes today (see chapter 9). Moreover, these were set to become even more elaborate with the evolution of the fully bipedal Homo ergaster. But that species brought a dramatic change in the extent of sexual dimorphism, bringing into question whether sexual selection remained a potent evolutionary force.
早期人类的交配模式
Early Human mating patterns
如果我们接受南方古猿是性别二态性的，那么向 1.2：1 左右的现代人体大小比例的转变就相当突然地发生了，达到 180 万 几年前，当 Homo ergaster 出现时。Nariokotome 和其他保存相对完好的标本使估计体型更有信心 比南方古猿的碎片遗骸还要多。
If we accept that Australopithecus afarensis was sexually dimorphic, the shift to the modern human body size ratio of around 1.2:1 came rather suddenly at 1.8 million years ago, when Homo ergaster appears. Nariokotome and other relatively well-preserved specimens allow for more confidence in the estimation of body size than the fragmented remains of australopithecines.
一般来说——也有例外——两性的体型都有所增加：雄性人比南方古猿大 50%;女性的增幅甚至更大，即 比雌性南方古猿大 70%。这可能告诉我们关于 Homo ergaster 及其直系后代的交配模式，从而告诉我们为音乐能力而进行性选择的可能性是什么？
In general – and exceptions are present – body size increases in both sexes: Homo ergaster males were up to 50 per cent larger than their australopithecine counterparts; females show an even greater increase, being up to 70 per cent larger than female australopithecines. What might this tell us about the mating patterns of Homo ergaster and its immediate descendants, and hence about the likelihood of sexual selection for musical ability?
如上所述，在对现生灵长类动物的比较研究的基础上，Homo ergaster 相对较低的性二态性似乎表明一夫一妻制而不是一夫多妻制的交配系统。如果 因此，这可能表现为男性和女性之间终生的配对关系，也可能是短期关系的形式 以 serial pair-bonding 的形式。19
On the basis of the comparative study of living primates, as described above, Homo ergaster’s relatively low degree of sexual dimorphism appears indicative of a monogamous rather than a polygynous mating system. If so, this may have taken the form either of lifetime pair-bonding between males and females, or of short-term relationships in the form of serial pair-bonding.19
认为一夫一妻制交配系统可能与 Homo ergaster 一起出现的第二个原因与这个物种的身体和大脑大小有关，以及随之而来的对怀孕和哺乳女性的能量需求。 我们已经注意到，与南方古猿的祖先相比，雄性人的体型增加了 50%，女性的体型增加了 70%。有效调整大脑大小 在大体标本中翻倍：南方古猿在 400 到 500 立方厘米之间，在 800 立方厘米之间 和 1000 立方厘米用于 Homo ergaster。
A second reason to think that monogamous mating systems may have appeared with Homo ergaster relates to the body and brain size of this, species, and the consequent energy demands placed on pregnant and nursing females. We have already noted that Homo ergaster male body size increased by up to 50 per cent and female body size by 70 per cent, compared with their australopithecine forebears. Brain size effectively doubled in the large-bodied specimens: ranging between 400 and 500 cubic centimetres for australopithecines, and between 800 and 1000 cubic centimetres for Homo ergaster.
这些体型的增加会给怀孕和哺乳期的女性带来大量的能量需求，同时也会抑制 他们为自己获取食物的能力。20 由于“次级 altriciality”现象，这种要求会变得特别严重，而 在这个时候出现。这只是意味着生下的婴儿仍在经历胎儿发育速度，因此 需要不断的照顾。这是因为双足行走需要相对狭窄的骨盆，因此对 产道的宽度。人类婴儿实际上是被迫这样做的，并且通常会在一段时间内拥有相当畸形的头骨 之后。要通过狭窄的双足骨盆出生，婴儿实际上必须早产，留下他们 在他们生命的前 18 个月里，他们几乎完全无助——其中的一些后果将在下个月探讨 章。21
These increases in size would have placed substantial energy demands on pregnant and nursing females, while also inhibiting their ability to acquire food for themselves.20 Such demands would have become particularly severe owing to the phenomenon of ‘secondary altriciality’, which must have first arisen at this time. This simply means giving birth to infants that are still undergoing foetal rates of development and consequently need constant care. This arose because bipedalism requires a relatively narrow pelvis and hence puts a severe constraint on the width of the birth canal. Human babies are literally forced along this, and often have quite misshapen skulls for a period afterwards. To be born at all through the narrow bipedal pelvis, infants effectively had to be born premature, leaving them almost entirely helpless for their first eighteen months of life – some consequences of which will be explored in the next chapter.21
随着喂养发育中的胎儿和婴儿的能源成本，以及他们自身活动的限制 这种强加的、女性 Homo ergaster 似乎可能需要大量的支持。这是从哪里来的？一种可能性是 male 开始配置 并保护他们的交配伙伴和后代。这样做可能符合他们的利益，因为他们自己的生殖 成功将取决于他们的后代能否存活下来繁殖。因此，配对键合会发展起来， 因为雄性需要确保他们所抚养的婴儿是他们自己所生的婴儿。
With the energy costs of feeding the developing foetus and then infant, along with the constraints on their own activity that this imposed, female Homo ergaster seem likely to have required substantial support. Where did this come from? One possibility is that males began provisioning for and protecting their mating partners and offspring. It may have been in their interest to do so, as their own reproductive success would have been dependent upon their offspring surviving to reproduce. Pair-bonding would therefore have developed, as the males needed to ensure that the infants they were supporting were those that they themselves had fathered.
这种情况似乎与在 Homo ergaster 中发现的性二态性减少完全吻合，因为雄性大小不再是交配成功的关键因素。然而，这有一个主要问题 解释，这导致一些古人类学家质疑此时人类交配模式的任何变化 演化。这就是 Homo ergaster 性二态性降低的关键原因仅仅是女性体型的增加相对大于男性体型。22 体型的增加可以用两足动物对干燥的热带草原环境的适应来解释，这需要更大的 每天为寻找食物和水而要走的路，以及增加吃肉的饮食改变。 由于从未进化出更大类型的人类，因此人类进化似乎已经达到了一个大小阈值 这样雄性就不能再大了。亨利·麦克亨利 （Henry McHenry） 认为情况确实如此，他认为超过 60-70 岁的男性 之所以选择公斤级是因为身体上的失败，比如背部受伤——这在今天仍然困扰着身材高大的人。
This scenario appears to fit neatly with the reduction in sexual dimorphism found among Homo ergaster, because male size would no longer have been the key factor in mating success. There is, however, a major problem with this interpretation, which has led several palaeoanthropologists to question any change in mating patterns at this date in human evolution. This is that the key reason why sexual dimorphism was reduced in Homo ergaster was simply the relatively greater increase in female than in male body size.22 This increase in body size can be explained by the bipedal adaptation to dry savannah environments, which required larger distances to be travelled on a daily basis in the search for food and water, and a dietary change involving increased meat-eating. Since no larger types of humans have ever evolved, it seems likely that a size threshold had been reached in human evolution such that males simply could not get any bigger. Henry McHenry thinks this was the case, arguing that males who exceeded 60-70 kilograms were selected against because of physical failures such as back injuries – something that continues to plague humans of large stature today.
质疑 Homo ergaster 出现交配模式变化的另一个原因是，雌性可能不是由雄性支持，而是由群体中的其他雌性支持，尤其是那些 他们是有关系的。雌性合作在一般哺乳动物中很普遍，有时涉及吸吮;彼此的 年轻和“保姆”。23 即使雌性猿类在群体之间移动并且不会与它们的亲戚在一起，它们也经常合作;有时一起 保护自己免受攻击性雄性的侵害。
Another reason to question a change in mating patterns with the appearance of Homo ergaster is that the females may have been supported not by males but by the other females within the group, especially those to whom they were related. Female cooperation is widespread among mammals in general, sometimes involving the suckling of ;each other’s young and ‘babysitting’.23 Even though female apes move between groups and will not be with their biological kin, they often cooperate; together, sometimes to protect themselves against aggressive males.
然而，雌性猿类和其他非人类灵长类动物之间的食物共享很少见，幼崽的供应也几乎不为人知 完全。Leslie Aiello 教授和她的同事 Cathy Key 在伦敦大学学院简单地解释了最后一点 由于不需要它：植物性食物足够丰富且易于获得，可供所有成人和年轻人喂养 他们自己。但是，如果饮食改变为包括更多来自狩猎或拾荒的肉类，那么很可能会 都发生在 Homo ergaster 的出现，那么食物分享和供应可能成为女性合作的关键因素。24 ：
Food sharing among female apes and other non-human primates is rare, however, and the provisioning of young is hardly known at all. Professor Leslie Aiello and Cathy Key, her colleague it University College London, explain this last point simply by the lack of any need for it: plant foods are sufficiently abundant and easy to procure for all adults and young to feed themselves. But if the diet changed to include greater amounts of meat from either hunting or scavenging, as is likely to have happened with the appearance of Homo ergaster, then food sharing and provisioning may have become key factors of female cooperation.24 :
祖母假说和女性选择
The grandmothering hypothesis and female choice
在最近的古人类学研究中，相互支持的女性亲属网络的概念得到了相当大的欢迎。 部分是通过 Aiello 和 Key 的研究，部分是由于祖母假说的影响。这出现了 来自人类学家詹姆斯·奥康奈尔 （James O'Connell）、克里斯汀·霍克斯 （Kristen Hawkes） 和尼古拉斯·布鲁顿-琼斯 （Nicholas Blurton-Jones） 等现代哈扎狩猎采集者的田野调查 东非的。25 他们发现，虽然雄性花大量时间打猎，但他们只为雌性提供有限的食物 和儿童。26 更为重要的是绝经后妇女采集植物，以及这些妇女如何照顾 他们的孙子孙女，从而使身体更强壮的年轻母亲能够觅食。通过提供此类支持， 祖母们正在改善她们自己的包容性健康，尽管应该注意的是，这些社区的绝经后妇女 还为无关的个人提供支持。奥康纳。而他的同事们则认为，这种男女对 不仅适用于 Homo ergaster 社会，而且与 Homo 谱系中绝经后寿命的进化直接相关——这在非洲猿类中是完全不存在的。
The notion of mutually supportive female kin networks has gained considerable popularity in recent palaeoanthropological studies, partly through the studies of Aiello and Key, and partly due to the influence of the grand-mothering hypothesis. This arose from fieldwork by the anthropologists James O’Connell, Kristen Hawkes and Nicholas Blurton-Jones among the modern Hadza hunter-gatherers of East Africa.25 They found that although males spend a great deal of time hunting they provide only limited amounts of food for the women and children.26 Of far greater importance was plant gathering by post-menopausal women, and the manner in which such women would care for their grandchildren, thus enabling the physically stronger young mothers to forage for food. By providing such support, the grandmothers are improving their own inclusive fitness, although it should be noted that post-menopausal women in these communities also provide support to unrelated individuals. O’Connell. and his colleagues believe that this kind of female-female support is not only applicable to Homo ergaster society, but is directly related to the evolution of post-menopausal lifespans within the Homo lineage – something quite absent among the African apes.
祖母假说表明，对怀孕和哺乳的 Homo ergaster 雌性必要的支持可能来自她们的女性亲属，而不是她们的雄配伴侣。这样的女性支持就足够了吗？Cathy Key 试图估计由此产生的女性生殖成本增加 从人类进化过程中身体和大脑大小的增加，并评估它何时会成为 雄性，以便他们开始为配偶提供和保护。27 Homo ergaster 似乎已经下降到略低于触发从女性到女性的必要转变的身体和大脑大小的阈值 到男女合作。那个点很可能是在 600， 000 到 100， 000 年前的某个时间达到的，当时 大脑大小进一步增加，这很可能是为了增强通信而选择的。
The grandmothering hypothesis suggests that the necessary support for pregnant and nursing Homo ergaster females may have come from their female kin rather than their male mating partners. Would such female support have been sufficient? Cathy Key has attempted to estimate the increase in reproductive costs for females that arose from increases in body and brain size during human evolution, and to assess when it would have become to the advantage of males for them to begin provisioning for and protecting their mates.27 Homo ergaster seems likely to have fallen just below a body and brain size threshold that triggers a necessary transition from female-female to male-female cooperation. That point was most probably reached at some time between 600, 000 and 100, 000 years ago, when a further increase in brain size occurred, this most likely being selected to enable enhanced communication.
因此，在一夫多妻制的 Homo ergaster、Homo erectus 和 Homo heidelbergensis 社会中，男女竞争似乎仍在继续，就像在南方古猿和 Homo habilis 社会中所做的那样。然而，一个关键的区别是，大小不再是交配成功的重要变量，因为 已达到的生物力学阈值。因此，将更加强调女性的选择。 而男性需要体格以外的特征来表明“好基因”。
It appears, therefore, that male-male competition continued in polygynous Homo ergaster, Homo erectus and Homo heidelbergensis society, much as it had done in australopithecine and Homo habilis society. A key difference, however, was that size could no longer have been a significant variable in mating success, because of the biomechanical threshold that had been reached. In consequence, there would have been a greater emphasis on female choice, and males would have needed traits other than physical stature to indicate ‘good genes’.
因此，女性选择可能已经开始发挥比南方古猿 和 比现在的非洲猿类更常见。而雌性大猩猩经常遭受雄性大猩猩的攻击，这可能是两倍 他们的体型，并且几乎总是顺从地响应男性的进步，Homo ergaster 女性会处于更强的位置。他们不仅在体型和力量上更接近雄性，而且他们会 大多数人可能拥有更强大的女性联盟来帮助保护她们免受不受欢迎的攻击。因此，男性 需要投入更多的时间和精力来展示她们，以吸引女性的注意力和兴趣;他们可以 不再依靠蛮力来对抗彼此和女性以达到她们的生殖目的。
So female choice is likely to have begun to play a far more significant role than it did among the australopithecines and than it does among present-day African apes. Whereas female gorillas often suffer aggression from males that might be twice their size, and almost always respond submissively to male advances, Homo ergaster females would have been in a stronger position. Not only were they closer to the males in size and strength, but they would most probably have had far stronger female alliances to help protect them against unwelcome advances. As a consequence, males would have needed to invest more time and energy in their displays so as to attract female attention and interest; they could no longer rely on brute force against one another and against the females in order to achieve their reproductive ends.
可能采用了哪些类型的显示？唱歌和跳舞似乎是理想的候选者，尤其是因为容量 因为两者都因与完全双足行走相关的解剖学变化而得到增强。所以这里我们回到达尔文的假设 正如米勒所阐述的那样：唱歌和跳舞可能为女性在选择时提供了指标和审美特征 伴侣。
What types of display might have been adopted? Singing and dancing appear to be ideal candidates, especially since the capacity for both had been enhanced by the anatomical changes associated with full bipedalism. So here we return to Darwin’s hypothesis as elaborated by Miller: that singing and dancing may have provided both indicator and aesthetic traits for females when choosing mates.
我对化石和比较灵长类动物证据的审查表明，这个假设比 最初看起来可能是这样。虽然可能缺乏男性唱歌和跳舞的直接证据，但事实上有大量证据 可能是男性展示的证据。它以考古学家大量拥有的形式出现：石器。
My review of the fossil and comparative primate evidence has shown that this hypothesis is more likely to be correct than it may have initially seemed. And while direct evidence for male singing and dancing may be lacking, there is, in fact, substantial evidence for what may have been male display. It comes in a form that archaeologists possess in abundance: stone tools.
Hand-axes and the problems they pose
正如我在前几章中所描述的，手斧出现在 140 万年前的考古记录中，并一直保留下来 直到仅仅 50， 000 年前，它一直是早期人类技术的关键要素。这不仅是因为手斧的寿命长，而且产量高 许多地方的数字如此惊人;许多具有非常高的对称性，这是故意强加的 通过巧妙且通常精致的石头凿碎。这种对称性通常在三个维度中同时出现 - 在 计划、In Profile 和 End-On。手斧通常对现代人的眼睛很有吸引力，它们被称为第一美学 文物。
As I described in the previous chapters, hand-axes appear in the archaeological record at 1.4 million years ago and remain a key element of Early Human technology until a mere 50, 000 years ago. It is not only hand-axes’ longevity and their prolific numbers at many localities that are so striking; many have a very high degree of symmetry that has been deliberately imposed by skilful and often delicate chipping of the stone. Such symmetry is often found simultaneously in three dimensions – in plan, in profile and end-on. Hand-axes are often attractive to the modern eye and they have been called the first aesthetic artefacts.
这很有趣，因为据考古学家了解，手斧只是用来屠宰动物、切割 植物和工作木材。普通的石片，或那些通过碎裂而形成最小形状的石片，可以很好地完成这样的任务 有效。28 那么，为什么早期人类要投入这么多时间来制作高度对称的人工制品呢？当它们被制作出来时，为什么它们如此频繁 以近乎原始的状态丢弃？29
This is intriguing because, as far as archaeologists understand, hand-axes were used simply for butchering animals, cutting plants and working wood. Plain stone flakes, or those minimally shaped by chipping, could have performed such tasks quite effectively.28 So why did Early Humans invest so much time in making highly symmetrical artefacts? And when made, why were they so often discarded in a near-pristine condition?29
在继续回答一些问题之前，必须注意一些注意事项。首先，会无意中产生某种程度的对称性 当通过交替剥落结节的两侧以产生锋利的边缘来制作石器时;这可能是 对称性首先出现在最早的手斧中，然后才成为有意强加的特征。其次，一些结节 的石头，例如在水中严重滚动的燧石鹅卵石，一开始就是对称的，这些石头可能具有 产生了高度的对称性，而石匠几乎不费吹灰之力，甚至不费吹灰之力就刻意为之。在其他情况下， 然而，原材料中的结核可能已经如此之大，即使是最熟练的石匠也永远无法将它们变成 对称的手斧。30 可是，这些都是极端的情况。在绝大多数情况下，手斧的对称程度是直接的 石匠的意图和技巧的结果。考古证据显示了从手斧到整个范围 其中对称性对于在所有三个维度上几乎都是完美的那些人来说几乎不存在。
Before proceeding with some answers, a few caveats must be noted. First, some degree of symmetry will arise quite unintentionally when a stone tool is made by alternately flaking the two sides of a nodule to produce a sharp edge; this may have been how symmetry first arose in the earliest hand-axes, before it became a feature that was deliberately imposed. Secondly, some nodules of stone, such as flint pebbles that have been heavily rolled in water, are symmetrical to begin with, and these may have produced a high degree of symmetry with little effort or even intention on the part of the stone-knapper. In other cases, however, the raw material nodules might have been such that even the most expert stone-knapper could never turn them into symmetrical hand-axes.30 These, though, are the extreme cases. In the vast majority of instances the degree of symmetry of a hand-axe is a direct consequence of the intention and skill of the stone-knapper. The archaeological evidence shows the entire range, from hand-axes in which symmetry is hardly present at all to those that are practically perfect in all three dimensions.
性感的手斧假说
The sexy hand-axe hypothesis
难道许多手斧主要是为了给异性留下深刻印象而制造的吗？如果是这样，他们将提供 hard 证据（字面意思）证明性选择在早期人类社会中是一股强大的力量，并将支持以下观点： 音乐可能被用于与达尔文最初提出的相同目的。投入时间和精力塑造一个精细对称的 人工制品肯定会成为石制手套的一个障碍，它的产生肯定会表明任何母亲都会有什么样的心理和身体能力 希望她的后代继承。这就是所谓的性感手斧假说的本质，提出了 1999 年由我和进化生物学家 Marek Kohn 完成。31
Could it be that many hand-axes were made primarily to impress members of the opposite sex? If so, they would provide hard evidence (quite literally) that sexual selection was a potent force in Early Human society, and would support the notion that music may have been used to the same end, as Darwin originally proposed. Investing time and energy in shaping a finely symmetrical artefact would certainly have been a handicap on the stone-knapper, and its production would certainly have indicated the kinds of mental and physical capacities that any mother would wish to be inherited by her offspring. This is the essence of what has become known as the sexy hand-axe hypothesis, proposed in 1999 by myself and the evolutionary biologist Marek Kohn.31
我们认为，制作精细对称的手斧的能力是认知、行为和 为高繁殖成功率提供潜力的生理特性。因此，雌性会优先与那些交配 可以制造此类工具的男性。反之亦然：雄性会被擅长生产的女性所吸引 对称的手斧。因为高质量的原材料是必要的，所以制造这样的工具就表明拥有 环境知识：能够定位具有良好剥落特性的石头意味着具有类似的定位能力 优质植物、尸体、庇护所和水的来源。更一般地说，它将展示 perception 的类型 以及父母“希望”他们的后代继承的环境开发认知技能。
We argued that the ability to make a finely symmetrical hand-axe acted as a reliable indicator of cognitive, behavioural and physiological traits providing the potential for high reproductive success. Hence females would preferentially mate with those males who could make such tools. The converse would also be true: males would be attracted to females who were adept at producing symmetrical hand-axes. Because high-quality raw material is necessary, making such a tool would indicate the possession of environmental knowledge: the ability to locate stone with good flaking characteristics would imply a similar ability to locate sources of high-quality plants, carcasses, shelters and water. More generally, it would demonstrate the kinds of perceptual and cognitive skills for environmental exploitation that a parent would ‘wish’ their offspring to inherit.
制作对称的手斧需要相当的技术技能以及构思和成功的能力 执行计划。此外，该计划需要随着突发事件的出现而不断修改——例如，当出现意外时 在材料中遇到缺陷，并在出现漏击时出现缺陷。计划、灵活性和毅力将是重要的品质 在狩猎采集生活的许多方面;潜在的母亲会希望她的后代拥有它们，因此会被吸引 献给那些在工具制造中表现出这种品质的男性。同样/制作手斧将是一个可靠的指标 健康、良好的视力和身体协调能力。
The making of a symmetrical hand-axe requires considerable technical skill as well as the ability to conceive and successfully execute a plan. Moreover, that plan needs to be modified continually as contingencies arise – for example, when unexpected flaws are encountered in the material and when miss-hits occur. Planning, flexibility and persistence would be important qualities in many aspects of hunter-gatherer life; a potential mother would wish for them in her offspring, and hence would be attracted to those males who displayed such qualities in their tool-making. Similarly/making hand-axes would have been a reliable indicator of health, good eyesight and physical coordination.
任何其他相对难以制造的人工制品的产生都可以作为指示性状，因此该论点 FAR 没有解决手斧的一个特殊特征，即它们的对称性。科恩和我争辩说，这很可能已经起作用了 作为一种审美特征，利用异性对对称的感知偏见。许多对生物的研究都有 表明生理特征的对称性是遗传和身体健康的良好指标，因为基因突变， 发育过程中的病原体和压力都容易造成不对称。例如，研究表明，吞下 凭借对称的尾羽和具有对称眼点的孔雀，可以提高繁殖成功率。32 对现代人类的研究表明，男性和女性都优先被异性所吸引，而异性 面和实体具有高度对称性。33
The production of any other relatively difficult-to-make artefact could function as an indicator trait, and the argument thus far does not address the one special feature of hand-axes, their symmetry. Kohn and I argued that this is likely to have functioned as an aesthetic trait, exploiting a perceptual bias in the opposite sex towards symmetry. Many studies of living things have shown that symmetry in physiological features is a good indicator of genetic and physical health, since genetic mutations, pathogens and stress during development are all liable to create asymmetries. Studies have shown, for instance, that swallows with symmetrical tail feathers and peacocks with symmetrical eyespots gain enhanced reproductive success.32 Studies of modern humans have shown that both men and women are preferentially attracted to members of the opposite sex whose faces and bodies have high degrees of symmetry.33
由于对称性吸引力存在于如此广泛的动物中，包括现代人类，因此可以合理地假设它也存在于 Homo ergaster、Homo erectus 和 Homo heidelbergensis 中。事实上，手斧一定吸引了异性，原因与我们认为它们有吸引力的原因相同 今天。
Since attraction to symmetry exists in such a wide range of animals, including modern humans, it is reasonable to assume that it was also present in Homo ergaster, Homo erectus and Homo heidelbergensis. In fact, hand-axes must have appealed to members of the opposite sex then for the same reasons that we find them attractive today.
图 12来自 Boxgrove 的手斧，由大约 500,000 年前的 Homo heidelbergemis 制造。这是在该地点发现的许多精细对称 spedimens 的典型特征。
Figure 12 Hand-axe from Boxgrove, made by Homo heidelbergemis around 500,000 years ago. This is typical of the many fine symmetrical spedimens discovered at this site.
一些人认为，性感手斧假说留下了一个未解决的问题：哪种性别制造了手斧？已经有 考古学中假设男性产生手斧的历史悠久，因为它们与狩猎和拾荒有关 活动。但没有证据表明是哪种性别造就了他们。我的观点是，如果我们处理的是一夫多妻制的交配 系统涉及性选择，那么我们必须得出结论，雄性会制造最对称的手斧。 然而，这并不排除女性也制作具有实用性质的手斧。如果涉及配接系统 在一定程度上是男性的选择，那么女性也可能已经从事制造高度对称的手斧 用于显示目的。这将涉及从严格的一夫多妻制过渡到一种连续的配对形式 其中雄性和雌性都有一定程度的配偶选择。
Some argue that the sexy hand-axe hypothesis leaves an unresolved problem: which sex made the hand-axes? There has been a long history in archaeology of assuming that males produced hand-axes because they are associated with hunting and scavenging activities. But there is no evidence as to which sex made them. My view is that if we are dealing with a polygynous mating system involving sexual selection, then we must conclude that males would have been making the most symmetrical hand-axes. This does not, however, preclude females from also making hand-axes of a utilitarian nature. If the mating system involved some degree of male choice, then females may also have been engaged in manufacturing hand-axes with a high degree of symmetry for display purposes. This would have involved the transition from a strictly polygynous system to a form of serial pair-bonding in which both males and females had some degree of mate choice.
无论展示手斧是否仅仅是“男性的关注点”，性感的手斧假说为许多问题提供了答案 手斧给测绘学家带来的长期问题。除了制造和对称性问题外， 它解释了它们在考古记录中的丰富性。仅仅拥有一把手斧是远远不够的 作为良好基因的指标，因为它可以;已从另一个人那里被盗;女性（或男性）观察者会 需要看到手斧的实际制造过程，以确保他/她没有被欺骗。因此，我们应该找到 考古记录中有这么多手斧，通常有几百把斧头以完好无损的方式一起丢弃。一旦制作完成， 它们的进一步用途有限。
Whether or nor hand-axe display was a ‘male preoccupation alone, the sexy hand-axe hypothesis provides answers to many of the long-standing problems that hand-axes have presented to atchaeologists. As well as issues of manufacture and symmetry, it explains their abundance in the archaeological record. The simple possession of a hand-axe would be quite insufficient as an indicator of good genes because it could; have been stolen from another individual; a female (or male) observer would need to see the hand-axe actually being manufactured in order to ensure that he/she was not being cheated. So it is not surprising that we should find so many hand-axes in the archaeological record, often several hundreds discarded together in pristine condition. Once made, they were of limited further use.
考古记录的另一个特殊特征也变得可以解释：手斧“巨人”。虽然不是很好 数量，存在几个标本，这些标本可能太大而无法使用。经典的例子来自 Furze Platt 在 英格兰南部 – 一把大小不小于 39.5 厘米、重 3.4 公斤的燧石手斧。同样，石英岩 近 30 厘米长的手斧来自奥杜威峡谷——牛津大学的 Derek Roe 教授描述道， 手斧的世界权威，作为“戏剧性物体”。34 这正是性感手斧假说所暗示的——吸引人们注意的对象 潜在的交配伙伴，并用所需的知识、技能、体力和心理特征给他们留下深刻印象 用于制造它们。
Another peculiar feature of the archaeological record also becomes explicable: the hand-axe ‘giants’. Although not great in number, several specimens exist that would have been far too large for use. The classic example comes from Furze Platt in southern England – a flint hand-axe no less than 39.5 centimetres in size and weighing 3.4 kilograms. Similarly, quartzite hand-axes almost 30 centimetres in length have come from Olduvai Gorge – described by Professor Derek Roe of Oxford University, a world authority on hand-axes, as ‘dramatic objects’.34 This is precisely what the sexy hand-axe hypothesis suggests they were intended to be – objects to catch the attention of potential mating partners and impress them with the knowledge, skill, physical strength and mental characteristics required for their manufacture.
性感手斧假说对于我们考虑音乐很重要。如果正确，它提供了一夫多妻制的证据 在 Homo ergaster 出现和显着的性二态性丧失后，交配系统仍然是原始人社会的主要特征。由于这一点，以及女性合作程度的提高，机会 对于雌性来说，交配伙伴的选择可能已经增加，这要求雄性投入更多的时间和精力进行展示。生物 力学 对体型的限制要求，这意味着必须找到除身材以外的其他因素来宣传“好基因”。如果使 性感的手斧是其中之一，另一种可能是唱歌和跳舞——就像查尔斯·达尔文在 1879 年和米勒在 2000. 虽然这不会构成音乐创作的起源，但它肯定会通过提供 对 'Hmmmmm' 现有音乐元素的额外选择压力。
The sexy hand-axe hypothesis is important for our consideration of music. If correct, it provides evidence that polygynous mating systems continued to be a dominant feature of hominid society after the emergence of Homo ergaster and the loss of significant sexual dimorphism. Owing to this, and to enhanced degrees of female cooperation, the opportunities for female choice of mating partners may have increased, requiring males to invest more time and energy in display. Biomechanical constraints on body size required that means other than stature alone had to be found to advertise ‘good genes’. If making sexy hand-axes was one, another might have been singing and dancing – just as Charles Darwin argued in 1879 and Miller in 2000. Although this would not constitute the origin of music-making, it would certainly have spurred its evolution by providing an additional selective pressure on the existing musical elements of ‘Hmmmmm’.
在我们的早期人类祖先中，性感的手斧和性感的歌声的存在提供了一个完全不同的视角 来自考古学家传统上提供的场景的过去。为了了解有何不同，我将通过以下方式开始下一章 考虑到五十万年前在最著名的考古遗址之一的原始人生活可能是什么样子， 英格兰南部的博克斯格罗夫。
The presence of sexy hand-axes and sexy singing among our Early Human ancestors provides a quite different perspective on the past from the scenarios traditionally offered by archaeologists. To see how different, I will begin the next chapter by considering what hominid life might have been like half a million years ago at one of the most famous of archaeological sites, Boxgrove in southern England.
13 为人父母的要求
13 The demands of parenthood
人类生活史和情感发展
Human life history and emotional development
迈尔斯·戴维斯 （Miles Davis） 的《一种蓝色》（A Kind of Blue）：黄昏时分，海德堡人 （Homo heidelbergensis） 在享用马肉后，在安全的树木中
‘A Kind of Blue’ by Miles Davis: Homo heidelbergensis at dusk in the security of trees after feasting on horse meat
想象一下，一群原始人——海德堡人（Homo heidelbergensis）的成员——聚集在潮湿泥泞的泻湖岸边的一匹马的尸体周围。其中两个是专业切割的 带手斧的肌腱;其他人在工作时看着他们，另一个人从附近的悬崖峭壁上回来，身上有一个燧石结节 他要再造一把手斧。当他们工作时，早期人类使用“嗯嗯”进行交流——手势、肢体语言和 MIME 与整体话语相结合，其中许多话语具有高度的音乐性质。成年雄性声音最大，并且有 最外向的动作;在背景中，母亲和婴儿之间正在进行一种更温和的交流形式。 这就是本章的主题：母婴交流的需求如何成为 “嗯嗯”的进化，并最终为现代人类的音乐和语言能力而进化。
Imagine a group of hominids – members of the Homo heidelbergensis species – clustered around the carcass of a horse on the banks of a wet and muddy lagoon. Two of them are expertly cutting tendons with hand-axes; others watch them at work, and another is returning from a nearby cliff-face with a flint nodule from which he will make another hand-axe. As they work, the Early Humans communicate using ‘Hmmmmm’ – gestures, body language and mime combined with holistic utterances, many of which have a highly musical nature. The adult males are the loudest and have the most extrovert movements; in the background a gentler form of communication is under way, between mothers and their infants. That is the subject of this chapter: how the need for mother-infant communication was a further selective pressure for the evolution of ‘Hmmmmm’, and ultimately for the capacities for music and language in modern humans.
博克斯格罗夫：发现、挖掘和解释
Boxgrove: discovery, excavation and interpretation
博克斯格罗夫是一个真正非凡的遗址，因为如此多的动物骨头和石制品仍然原地留存 它们在五十万年前被丢弃，被迅速但温和地埋在泻湖的泥浆中。1 这使得考古学家能够比其他地方更详细地重建早期人类活动;广阔的 这一时期的大多数遗址很久以前就被河流冲走了，留下了石制品在砾石中滚动和撞击 沉积物就像未经加工的鹅卵石一样。在 Boxgrove，散落的薄片准确地显示了燧石打燧机的位置 坐下来塑造他们的工具;许多薄片已被重新安装，以准确显示它们是如何从无定形结节中去除的 塑造几乎完全对称的卵形手斧。阿拉伯数字
Boxgrove is a truly remarkable site because so many of the animal bones and stone artefacts remain exactly where they were discarded half a million years ago, having been rapidly but gently buried in the mud of the lagoon.1 This has allowed archaeologists to reconstruct Early Human activities in far more detail than they can elsewhere; the vast majority of sites of this period were long ago washed away by rivers, leaving the stone artefacts rolled and battered in gravel deposits just as if they were unworked pebbles. At Boxgrove, the scatters of flakes show precisely where the flint-knappers sat and shaped their tools; numerous flakes have been refitted to show exactly how they were removed from amorphous nodules to shape almost perfectly symmetrical ovate hand-axes.2
博克斯格罗夫是英国最早的考古遗址之一——实际上是整个北欧的考古遗址。它被占用了 在间冰期，当时海平面较低，英国只不过是大陆的一个半岛。跟 冰盖的消退，海德堡人 （Homo heidelbergensis） 向北传播，以狩猎或拾荒获得的动物为生，并利用林地的植物性食物 现在，这种气候在更温暖、更潮湿的气候中蓬勃发展。事实上，50 万年前的英国大部分地区应该是厚厚的 树木覆盖着树木，这些树木对收集浆果和坚果很有用，可以安全地睡觉免受食肉动物的侵害，但不适合狩猎 和拾荒。对于这些活动，沿海平原和沼泽地是首选，这从发掘中可以明显看出 在 Boxgrove。该遗址不仅提供了对海德堡人行为的洞察，还生动地展示了间冰期环境，因为许多其他动物在其附近生活和死亡。这 已经出土了大象、犀牛、马、鹿、狮子、狼和鬣狗的骨头，以及小型动物的骨头，例如 如海狸、野兔、田鼠和青蛙。它曾经是一个充满活力、人口稠密的景观，一个北纬的塞伦盖蒂。
Boxgrove is one of the earliest archaeological sites in Britain – indeed in the whole of northern Europe. It was occupied during an interglacial period when the sea level was low and Britain was no more than a peninsular of the continent. With the retreat of the ice sheets, Homo heidelbergensis had spread northwards, living on animals acquired by either hunting or scavenging, and exploiting plant foods from the woodland that now flourished in the warmer and wetter climate. Indeed, much of Britain at 0.5 million years ago would have been thickly covered in trees, which were useful for collecting berries and nuts, and sleeping secure from carnivores, but not for hunting and scavenging. For those activities the coastal plain and marshes would have been preferred, as is apparent from the excavations at Boxgrove. The site provides not only an insight into the behaviour of Homo heidelbergensis but also a vivid glimpse of the interglacial environment, as a great many other animals lived and died in its vicinity. The bones of elephant, rhino, horse, deer, lion, wolf and hyena have been excavated, along with those of smaller animals such as beavers, hares, voles, and frogs. It had been a vibrant, heavily populated landscape, a northern-latitude Serengeti.
许多马、鹿和犀牛的骨头都有石器留下的切割痕迹。其中一些可以拼凑起来重建 屠宰过程，因为切割痕迹聚集在主要肌肉附件周围，显示了尸体是如何被拆开的。3 同样的骨头上也覆盖着食肉动物的啃食痕迹，表明鬣狗是怎样在早期人类之后开始觅食的 左。他们的存在表明博克斯格罗夫是一个危险的地方，不是一个逗留的地方，也是一个时刻保持警惕的地方 本来是必不可少的。在这方面，博克斯格罗夫与近乎同时代的 Bilzingsleben 遗址完全不同，后者 没有发现食肉动物的痕迹，这表明周围的树木提供了安全。情绪和“嗯嗯”-ings 两个地点的早期人类一定与博克斯格罗夫的早期人类完全不同，他们来自焦虑的人， 肾上腺素充满活力，而且工作迅速，其中一些人可能一直希望让他们的婴儿保持平静。
Many of the horse, deer, and rhino bones have cut-marks from stone tools. Some of them can be pieced together to reconstruct the butchery process, as the cut-marks cluster around the major muscle attachments, showing how the carcasses were taken apart.3 The same bones are also covered in carnivore gnaw-marks, showing how hyenas had come scavenging after the Early Humans had left. Their presence indicates that Boxgrove was a dangerous locality, not a place for lingering and one where constant vigilance would have been essential. In this regard, Boxgrove was quite different from the near-contemporary site of Bilzingsleben where no traces of carnivores were found, an indication of the safety provided by the surrounding trees. The emotions and ‘Hmmmmm’-ings of the Early Humans at the two sites must have been quite different those at Boxgrove coming from people who were anxious, adrenalin-fuelled, and working quickly, and some of whom may have been wishing to keep their infants calm.
伦敦大学的马克·罗伯茨 （Mark Roberts） 在 1990 年代发现并挖掘了该遗址。这是一项了不起的成就： 从一种预感开始，即一些先前找到的工具标记了一个重要站点的位置，然后开始工作 几乎没有任何资金来证明自己是对的，并在几年内进行了数百万英镑的挖掘——一次考古 白手起家的故事。令他自己失望，也许更让资助该项目的 English Heritage 失望， 发现的早期人类自己的遗骸很少，只不过是一块被咀嚼的腿骨和几颗牙齿的一部分。不过 这些以及该地点的日期足以确定在 Boxgrove 屠宰动物的人是 Homo heidelbergensis。4
Mark Roberts from the University of London discovered and excavated the site during the 1990s. It was a remarkable achievement: starting with no more than a hunch that a few previously found tools marked the location of an important site, then working with hardly any funds to prove himself right, and within a few years running a multi-million-pound excavation–an archaeological rags-to-riches story. To his own disappointment, and perhaps even more so that of English Heritage who funded the project, very few remains of the Early Humans themselves were discovered, no more than part of a chewed leg bone and a few teeth. Nevertheless, these, and the date of the site, were sufficient to identify those who butchered the animals at Boxgrove as Homo heidelbergensis.4
尽管证据保存得如此完好，但考古学家对博克斯格罗夫泻湖旁边究竟发生了什么存在分歧。 我们之前评论过 Clive Gamble 对 Bilzingsleben 的评论，他怀疑这些尸体不是被猎杀的，而是被捡来的。作为几个 其中，它们在屠杀开始时似乎已经完成，而食肉动物一定是在制作后不久就被赶走了 他们的杀戮。Gamble 还认为，早期人类在工作时并没有对彼此“说”太多话，因为空间 工具制造产生的碎片在孤立和离散的集群中形成的图案与我们在 智人的狩猎采集者的露营地，无论是在最近的考古记录中记录的还是由人类学家观察到的。这些通常具有 壁炉附近的大片碎片，反映了人们在制作时如何定位自己聊天 工具和分享食物。5
Even though the evidence is so well preserved, archaeologists disagree about what precisely happened beside the Boxgrove lagoon. Clive Gamble, whose comments on Bilzingsleben we reviewed earlier, suspects that the carcasses had not been hunted but scavenged. As several of them appear to have been complete when the butchery begun, the carnivores must have been chased away soon after making their kill. Gamble also believes that the Early Humans were not ‘saying’ much to each other as they worked, because the spatial patterning of the debris from tool-making, in isolated and discrete clusters, is quite different from that which we find in the campsites of Homo sapiens hunter-gatherers, whether recorded in the recent archaeological record or observed by anthropologists. These typically have large palimpsests of debris in the vicinity of fireplaces, reflecting how people positioned themselves to chat while making tools and sharing food.5
马克·罗伯茨 （Mark Roberts） 的观点与甘布尔截然不同，他认为博克斯格罗夫原始人更像现代人。 他认为，在马的骨盆骨上发现的一个洞是长矛刺穿动物后躯造成的。6 罗伯茨和他的同事西蒙·帕菲特 （Simon Parfitt） 对马骨上的切割痕迹进行了详细研究，并决定 动物被剥皮和去肉的方式似乎与清道夫不一致。任何食肉动物的啃咬痕迹都出现了， 他们争论说，只是在原始人离开现场并抛弃了尸体之后。罗伯茨比甘布尔准备得更充分 将口语归因于博克斯格罗夫原始人。因此，他将海德堡人描绘成合作、健谈和高效的大型猎物猎人——他们景观的主人。
Mark Roberts has a quite different view from Gamble, believing that the Boxgrove hominids were far more like modern humans. He argues that a hole found in a horse’s pelvic bone was caused by a spear that pierced the hindquarters of the animal.6 Roberts, and his colleague Simon Parfitt, made a detailed study of the cut-marks on the horse bones and decided that the animals had been skinned and defleshed in a manner that appears inconsistent with scavenging. Any carnivore gnaw-marks arose, they argued, only after the hominids had left the site and abandoned the carcasses. Roberts is far more ready than Gamble to attribute spoken language to the Boxgrove hominids. Consequently he provides a picture of Homo heidelbergensis as cooperative, talkative and efficient big-game hunters – masters of their landscape.
在我看来，真相介于罗伯茨和甘布尔的解释之间。Schoningfen 的发现给出了强烈的 支持博克斯格罗夫原始人是大型猎物猎人的论点，而解剖学证据表明，海德堡人能够说出比甘布尔准备接受的更复杂的口语。但毫无疑问，空间 Boxgrove 的碎片图案通过暗示行为和思想来增加手斧本身的谜团 与现代人不同。现场缺少的东西与现有的东西一样重要：没有壁炉 没有任何结构的痕迹。
To my mind the truth lies somewhere between Roberts’s and Gamble’s interpretations. The finds from Schoningfen give strong support to the argument that the Boxgrove hominids were big-game hunters, while the anatomical evidence suggests that Homo heidelbergensis was capable of more complex spoken utterances than Gamble is prepared to accept. But there can be no question that the spatial patterning of debris at Boxgrove adds to the enigma of the hand-axes themselves by suggesting behaviour and thought quite different from that of modern humans. What is missing from the site is as important as what is present: there are no hearths and no traces of any structures.
罗伯茨似乎太快将现代行为写入过去，而甘布尔则正确地试图理解我们的祖先是如何 与现代人不同。通过对那些占领 Boxgrove 的人进行“嗯嗯”的沟通，我们可以给他们一个足够的 成为成功的大型猎物猎人的沟通水平，同时限制他们的思想以产生行为保守主义 这从 Boxgrove 和这一时期的所有其他遗址中可以明显看出。
Roberts seems too quick to write modern behaviour into the past, while Gamble correctly tries to understand how our ancestors differed from modern humans. By attributing those who occupied Boxgrove with ‘Hmmmmm’ communication, we can allow them a sufficient level of communication to be successful big-game hunters, while constraining their thought to produce the behavioural conservatism that is evident from Boxgrove and all other sites of this period.
Singing and dancing at Boxgrove
虽然罗伯茨和甘布尔的解释可能在具体细节上有所不同，但他们对博克斯格罗夫的基本印象是 尽管如此，Provide 还是相当一致的。这是一个专注于早期人类屠杀的农场，他们急于拿走关节 以及在安全的地方吃的肉片，躲避徘徊的食肉动物。原始人不仅使用他们的手斧和 薄片，还有它们分离尸体的蛮力。他们可能相互交流或独立工作， 但无论哪种方式，吸引他们注意的是剥皮和肌腱的切割。当工具变得太钝或 它们油腻腻，被丢弃，新的手斧是用从附近悬崖底部带来的石头结节制成的。这是一个繁忙的， 血腥而残酷的场景。
While Roberts and Gamble may differ in the specifics of their interpretations, the underlying picture of Boxgrove that they provide is nonetheless quite consistent. It is one focused on butchery by Early Humans who are anxious to take away joints and fillets of meat to eat in safe locations, hidden from prowling carnivores. The hominids use not only their hand-axes and flakes but also their brute strength to separate the carcasses. They may be communicating to each other or working independently, but either way it is the skinning and the cutting of tendons that command their attention. When tools become too blunt or greasy, they are discarded and new hand-axes are made from nodules of stone brought from the cliff-base nearby. It is a busy, bloody and rather brutal scene.
我在前几章中提出的论点，那些关于节奏、模仿和性选择的论点，表明我们可以美化 博克斯格罗夫的这个愿景。我们应该设想早期人类男性选择花费比严格必要的时间更多的时间 在制作他们的屠宰工具时，投入时间和精力来创造一个比例精细且令人愉悦的人工制品。这样做 在像 Boxgrove 这样的地点将是一个真正的障碍，因为它会转移对尸体的注意力，而 小组的其他成员和周围环境。也许雄性坐着，背对着尸体，面向 一群年轻女性在工作时;他们的心思既放在了谁在看着他们打火石，也放在了手斧是怎么打的 用于剥皮和切割肌腱。
The arguments forwarded in my previous chapters, those about rhythm, mimesis and sexual selection, suggest that we can embellish this vision of Boxgrove. We should envisage the Early Human males choosing to spend more time than was strictly necessary when making their butchery tools, investing time and effort to create a finely proportioned and pleasing artefact. Doing so at a site like Boxgrove would have been a true handicap because it would have deflected attention from the carcasses, the other members of the group and the surroundings. Perhaps the males sat with their backs to the carcass, oriented towards a cluster of young females while they worked; their minds as much on who was watching them flint-knap as on how the hand-axe was to be used for skinning and cutting tendons.
如果手斧的制造部分是为了社交展示，那么我们也可以效仿杰弗里·米勒 （Geoffrey Miller） 并设想 早期人类在凿碎石头时发出性诱人的旋律和有节奏的声音。此外，尽管 早期人类围绕尸体和彼此周围的运动很可能是充满活力的，他们会 也是优雅而富有表现力的——反映体格、健康和协调性的展示，而不是笨拙的动作 通常归因于我们的史前祖先和亲戚。
If the manufacture of hand-axes was undertaken partly for social display, then we might also follow Geoffrey Miller and envisage the Early Humans making sexually enticing melodic and rhythmic utterances while they chipped at the stone. Moreover, although the movements of the Early Humans around the carcass and around each other are likely to have been energetic, they would have also been graceful and expressive – a display reflecting physique, fitness and coordination, rather than the clumsy movements that are generally attributed to our prehistoric ancestors and relatives.
由于能够获得完整的马尸体进行屠宰对于海德堡人来说很可能是一件罕见的事情——无论他们是否是猎人——我们可以很容易地想象到，Boxgrove 的人们会为他们的 工作。因此，我们应该设想早期人类围绕尸体的有节奏的运动和旋律的发声融合成某种东西 接近我们所认识的舞蹈和歌曲。在整个诉讼过程中，会有整体性的、操纵性的 话语：'cut those tendons'， 'sharpen the axe'， 'take meat to [手势指示人]'，等等。随着 这种展示、表达和交流，难怪海德堡人大脑的大小超过 1000 立方厘米。
As the availability of a complete horse carcass to be butchered was most probably a rare event for Homo heidelbergensis – whether or not they were hunters – we can readily imagine that those at Boxgrove were relieved, happy and excited by their work. Hence, we should envisage rhythmic Early Human movements around the carcass and melodic vocalizations merging into something close to what we would recognize as dance and song. And throughout the proceedings, there would have been holistic, manipulative utterances: ‘cut those tendons’, ‘sharpen the axe’, ‘take meat to [gesture indicating person]’, and so forth. With all of this display, expression and communication, no wonder Homo heidelbergensis brains exceeded 1000 cubic centimetres in size.
我怀疑 Boxgrove 的 “Hmmmmm” 还有两个方面，一个可以在任何地方找到的 原始人被归为一组。第二个是下一章的主题。在这里，我关心的是女性唱歌 他们的婴儿。除了屠杀、工具制作、炫耀的噪音和运动之外，我们还必须想象一个年轻的 母亲抱着她刚出生的婴儿，轻轻地唱歌。另一名妇女可能在婴儿时期制作手斧或切肉 就在附近。当母亲工作时，她与孩子保持眼神交流;她微笑，扬起眉毛，做手势，然后 发出温柔、旋律优美的话语。
I suspect that there would have been two further aspects to the Boxgrove ‘Hmmmmm’, ones that would have been found wherever hominids were grouped together. The second is the subject of the next chapter. Here, I am concerned with females singing to their infants. In addition to the butchery, the tool-making, the ostentatious noise and movement, we must imagine a young mother cradling and gently singing to her newborn baby. Another woman may be making a hand-axe or cutting meat while her infant sits near by. As the mother works, she maintains eye contact with her child; she smiles, raises her eyebrows, gestures and makes gentle, melodic utterances.
给婴儿唱歌
Singing to infants
在第 6 章中，我总结了婴儿天生具有音乐性的证据，并以此来强调音乐的生物学基础。 该证据最关键的要素是婴儿定向语音 （IDS） 的普遍性，以及 在婴儿开始语言习得过程之前很久就使用了。IDS 一直受到广泛学者的兴趣， 从 Anne Fernald 到 Colin Trevarthan;另一位是来自西雅图的儿童心理学家艾伦·迪桑纳亚克（Ellen Dissanayake）。她相信 在人类进化过程中对增强母婴互动的需求导致这种交流变得强烈，并且 具有音乐性质。Dissanayake 认为这可能是成年人音乐创作的最终来源，并且 整个社会。7
In chapter 6 I summarized the evidence that infants are born musical and used this to underline music’s biological basis. The most crucial elements of that evidence are the universal nature of infant-directed speech (IDS) and the fact that this is used long before infants have begun the process of language acquisition. IDS has been of interest to a wide range of academics, from Anne Fernald to Colin Trevarthan; another is Ellen Dissanayake, a child psychologist from Seattle. She believes that the need for enhanced mother-infant interactions during human evolution caused such communication to become intense and to take on a musical nature. Dissanayake suggests that this may have been the ultimate source of music-making among adults and throughout society as a whole.7
在上一章中，我们开始讨论她理论的一个关键方面——人类婴儿的身体无助 出生时。正如我所解释的，双足行走的进化导致了相对狭窄的骨盆，因此导致了产道的狭窄。 限制婴儿出生时的大小，尤其是他们的大脑大小。作为补偿，婴儿实际上是早产儿和 子宫外生命的第一年胎儿持续快速生长。人类婴儿在手术期间体重增加一倍 他们的第一年，平均长了 25 厘米。
We began to cover one of the key aspects of her theory in the previous chapter – the physical helplessness of human infants at birth. As I explained, the evolution of bipedalism resulted in a relatively narrow pelvis and hence birth canal, which limits the size of infants at birth, especially their brain size. To compensate, infants were effectively born premature and continued rapid foetal growth rates for the first year of life outside of the womb. Human infants double in weight during their first year, growing an average of 25 centimetres.
正如我们所看到的，从 Homo ergaster 开始的物种的后果是，与早期的情况相比，育儿成为一项成本高昂且持续时间相对较长的活动 原始人和我们现有的灵长类亲戚。从那时起，哺乳期的母亲在以下方面受到了相当大的压力 能源成本增加以及自身行动和活动受到限制——祖母假说背后的基本原理 在上一章中介绍。
As we saw, the consequence for species from Homo ergaster onwards was that childcare became a costly activity of relatively long duration, compared with the situation for earlier hominids and our existing primate relatives. From this point on, considerable pressure was placed on nursing mothers in terms of increased energy costs and constraints on their own movement and activities – the rationale behind the grandmothering hypothesis introduced in the previous chapter.
Dissanayake 认为，IDS 的音乐方面是作为对人类日益增长的无助感的直接回应而演变的 婴儿作为早期原始人进化成早期人类，驳斥了达尔文/米勒假说，即男性竞争和成人求爱提供了 音乐的原始选择压力。她追随 Colin Trevarthan 的脚步，认为音乐应该被描述为 一个“多媒体”包，其中面部表情、手势和肢体语言与发声同等重要。
Dissanayake believes that the musical aspects of IDS evolved as a direct response to the increasing helplessness of human infants as early hominids evolved into Early Humans, dismissing the Darwin/Miller hypothesis that male competition and adult courtship provided the original selective pressures for music. And she follows Colin Trevarthan in believing that music should be characterized as a ‘multimedia’ package, in which facial expression, gesture and body language are equal in importance with vocal utterances.
根据 Dissanayake 的说法，母婴互动的音乐特征之所以出现，是因为它们提供了实质性的 对双方都有好处。她的论点取决于音乐声音和动作在表达和诱导情感中的作用 正如第 7 章所探讨的那样，最终实现父母和婴儿所经历的情绪之间的一致性。 她认为，这种一致性对于发展他们的关系以及最终婴儿的文化化至关重要。
According to Dissanayake, the musical characteristics of mother-infant interactions arose because they provided substantial benefits to both parties. Her arguments hinge on the role of musical sound and movement in expressing and inducing emotional states, as explored in chapter 7, ultimately achieving concordance between the emotions experienced by parent and infant. Such concordance was essential, she argues, for developing their relationship and, ultimately, the enculturation of the infant.
用 Dissanayake 的话来说，解决方案是“通过婴儿和母亲的共同进化来实现的，这些婴儿和母亲有节奏的、时间模式化的、 共同维持的交流互动产生并维持积极的情感心理生物学大脑状态 兴趣和喜悦 – 通过展示和模仿归属情绪，从而分享、交流和加强 他们”。8 这种共同进化背后的机制是自然选择：那些母亲的生理和认知构成使 他们更有能力提供婴儿护理，而那些接受这种护理的婴儿最终获得了 生育能力 优势。
In Dissanayake’s words, the solution was accomplished ‘by coevolution in infants and mothers of rhythmic, temporally patterned, jointly maintained communicative interactions that produced and sustained positive affect-psychobiological brain states of interest and joy – by displaying and imitating emotions of affiliation, and thereby sharing, communicating, and reinforcing them’.8 The mechanism behind this co-evolution was natural selection: those mothers whose physiological and cognitive make-up made them more able to provide infant care, and those infants who were receptive to such care, ultimately gained a reproductive advantage.
正如我在第 6 章中所描述的，与正常的语音相比，IDS 涉及夸张的元音、重复、更高的音调、更大的 音高范围和相对较慢的速度。这些与面部表情和手势一起使用 - 扬起眉毛， 微笑、点头和抬头、挥手 - 以及挠痒痒和拥抱等身体接触。通过这样的刺激，我们引出 前语言婴儿的情绪并揭示我们自己的感受;我们影响婴儿的行为，保持警觉性， 安抚、表达不满等等。
As I described in chapter 6, compared with normal speech IDS involves exaggerated vowels, repetition, higher pitches, a greater range of pitch, and a relatively slow tempo. These are used in concert with facial expressions and gestures – raised eyebrows, smiles, head nods and uplifts, hand waves – and physical contact such as tickles and cuddles. Through such stimuli we elicit emotions in prelinguistic infants and reveal our own feelings; we influence the infant’s behaviour, maintaining alertness, soothing, showing displeasure and so forth.
在她的理论中，Dissanayake 非常重视现代母婴互动的微观动力学——每个伴侣如何 追踪写在对方的身体、脸上和声音中的情感表情。她声称，每个人都能够进入，“这个 时间世界和他者的感受状态”。通过这种方式，婴儿的注意力和唤醒水平得到了控制， 获得情绪调节和支持，其情绪功能的神经结构得到加强，得到发展 的认知能力得到增强，并最终在获得文化特定的社会行为规则方面得到支持 和 'language' 的。当然，今天，随着我们的婴儿长大，IDS 发生了变化以支持语言的习得，这已经 压倒了类似音乐的话语和手势在成年现代人中的重要性。
In her theory, Dissanayake places great emphasis on the microdynamics of modern mother-infant interactions – how each partner tracks the emotional expressions written in the body, face and voice of the other. Each is able to enter, she claims, ‘the temporal world and feeling state of the other’. By this means the infant has its level of attention and arousal controlled, gains emotional regulation and support, has its neural structures for emotional functioning reinforced, has the development of cognitive abilities enhanced, and ultimately is supported in the acquisition of culturally specific rules of social behaviour and ‘language’. Today, of course, as our infants mature, IDS changes so as to support the acquisition of language, which has overwhelmed the significance of music-like utterances and gestures in adult modern humans.
Dissanayake 的想法基于情感和情绪的言语和手势交流，提供了宝贵的贡献 到早期人类交流的“嗯嗯”理论。即使没有语言，Homo ergaster 婴儿也必须学习不同的话语如何与不同的情绪相关，以及“婴儿导向的 Hmmmmm”，其夸张的 韵律，会促进这种学习。
Dissanayake’s ideas, based as they are on the uttered and gestural communication of emotion and mood, provide a valuable contribution to the ‘Hmmmmm’ theory of Early Human communication. Even in the absence of language, Homo ergaster infants had to learn how different utterances related to different moods, and ‘infant-directed Hmmmmm’, with its exaggerated prosody, would have facilitated such learning.
大婴儿问题
The big baby problem
Dean Falk 是佛罗里达州立大学 （Florida State University） 杰出的人类学教授，专门研究 人脑。她最新的理论之一着眼于语言的最初阶段，她称之为“前语言”，从两者 发展和进化的观点。9 就像 Dissanayake 和她之前的 Leslie Aiello 一样，Falk 认为两足行走的出现是进化的关键因素 人类语言和认知的。她也强调了两足行走如何导致实际上是无助的婴儿。但 虽然 Dissanayake 解决了婴儿随之而来的情感和社会需求，但 Falk 主要关心的是母亲们 谁必须带着他们到处走。
Dean Falk is a distinguished professor of anthropology at Florida State University who specializes in the evolution of the human brain. One of her latest theories looks at the very first stages of language, what she calls ‘pre-language’, from both a developmental and an evolutionary perspective.9 Like Dissanayake, and Leslie Aiello before her, Falk believes that the appearance of bipedalism was a key factor in the evolution of human language and cognition. She, too, has stressed how bipedalism led to what were effectively helpless infants. But while Dissanayake addressed the consequent emotional and social needs of the babies, Falk’s concern is largely with the mothers who had to carry them around.
雌性猴子和猿类很少放下它们的婴儿。黑猩猩婴儿在头两个月无法正确地粘附 他们生命中的生命，并被带到他们母亲的身体下。当放在地上时，幼年黑猩猩容易出现 发出“嗡嗡”声，以此作为与母亲重新建立身体接触的一种方式。这可能会重复并成为 一个呜咽的序列。当母亲想要抱起婴儿或取出婴儿时，它们经常会发出类似的“嗡嗡”声 它来自一个危险的境地。倭黑猩猩非常相似。他们对婴儿的“尖叫”很敏感，并发出“吠叫” 或在警报情况下“打嗝”，这会引起婴儿的即时反应。
Female monkeys and apes rarely put their babies down. Chimpanzee infants are unable to cling properly for the first two months of their life and are carried underneath their mothers’ bodies. When placed on the ground, infant chimpanzees are prone to emit a ‘hoo’ sound as a means of reestablishing physical contact with their mother. This may be repeated and become part of a whimpering sequence. The mothers frequently emit a similar ‘hoo’ sound when they wish to pick up their infant or remove it from a dangerous situation. Bonobos are very similar. They are sensitive to the ‘screams’ of their infants and emit ‘barks’ or ‘hiccups’ in alarm situations, which elicit an immediate response from the infants.
虽然这种猿母婴轮流发声与人类的发声相似，但它们的 频率和多样性。与人类母亲不断的歌声喋喋不休相比，黑猩猩和倭黑猩猩是 几乎无声。
While such ape mother-infant turn-taking vocalizations are similar to those found in humans, they differ dramatically in their frequency and diversity. When compared with the constant sing-song chattering of a human mother, chimpanzees and bonobos are practically silent.
当黑猩猩和倭黑猩猩几个月大时，它们已经足够发育，可以爬到母亲的背上并 紧贴着他们的体毛免费骑行。他们可以这样做长达四年，之后幼鱼完全变成 独立。
When a couple of months old, chimpanzees and bonobos are sufficiently developed to climb onto their mothers’ backs and to cling to their body hair for a free ride. They can do this for up to four years, after which the juveniles become entirely independent.
福尔克已经认识到，Homo ergaster的婴儿，甚至可能是南方人猿的婴儿，会比今天的类人猿的婴儿经历更艰难的时期。由于他们的 身体无助的时期持续时间要长得多，现代人类婴儿也比黑猩猩需要更长的时间才能获得 控制自己的姿势和运动 – 大约三个月抬起头部，九个月独立坐着。类似的身体丧失行为能力时间，尽管时间较短 很可能是我们早期人类祖先的婴儿所经历的。因此，Homo ergaster、Homo erectus 和 Homo heidelbergensis 的母亲需要长时间支持和携带婴儿，除非他们能找到另一个 策略来照顾他们。
Falk has recognized that the infants of Homo ergaster, and perhaps even the austraopithecines, would have had a more difficult time than those of the great apes today. As their period of physical helplessness lasts considerably longer, modern human infants also take longer than chimpanzees to gain control over their own posture and locomotion – approximately three months to lift the head and nine months to sit unaided. A similar, although somewhat shorter, period of physical incapacity is likely to have been experienced by the infants of our Early Human ancestors. As a consequence, Homo ergaster, Homo erectus and Homo heidelbergensis mothers were required to support and carry their infants around for prolonged periods of time, unless they could find another strategy to care for them.
双足行走的垂直姿势会进一步增加母亲的负担，她们的大体型也会进一步增加。我们 知道 Homo ergaster 的一些成员已经达到了现代人的身材，而 Boxgrove 腿骨和其他骨骼遗骸表明，到 50 万 几年前，体型通常很大——六英尺高，肌肉和脂肪丰富。因此，婴儿将有 至少和现代人的一样大，所以随身携带一个一岁的孩子会同样累人 1.8 百万年前，就像 Boxgrove 和今天一样。
The vertical posture of bipedalism would have further increased the burden on mothers, as would their large body size. We know that some members of Homo ergaster had already reached modern human stature, while the Boxgrove leg bone and other skeletal remains indicate that by 0.5 million years ago body size was often substantial – six feet tall, with plenty of muscle and fat. The infants would accordingly have been at least as large as those of modern humans, so carrying around a one-year-old would have been just as exhausting 1.8 million years ago as it was at Boxgrove and as it is today.
情况可能更是如此。似乎与两足行走的发展齐头并进的是体毛的脱落。 只留下我们今天拥有的几个补丁。这种损失本来是保持凉爽的另一种生理适应 在开阔的大草原上觅食时。10 早期人类的婴儿很可能有抓握反射，但这种反射的价值会越来越有限 因为他们的父母变得不那么毛茸茸了。虽然今天人类婴儿出生时仍然具有抓握反射，但他们从未发展 能够独立地依附在母亲的身体上。
It may have been even more so. It seems likely that hand in hand with the evolution of bipedalism came the loss of body hair, leaving just the few patches that we have today. Such loss would have been another physiological adaptation for keeping cool when foraging on the open savannah.10 The Early Human infants are likely to have had a grasping reflex, but this would have become increasingly limited in value as their parents became less hairy. Although human infants are still born with a grasping reflex today, they never develop the ability to cling unaided to their mother’s bodies.
体毛、火和衣服
Body hair, fire and clothing
然而，我们必须谨慎，因为没有直接证据表明我们何时进化到实际上没有毛发。事实上 这个想法本身就是一种幻觉，因为我们身上的毛囊密度是猿类所期望的 我们这么大。我们和黑猩猩的区别在于，我们的体毛又细又短，几乎是 无形。这种轻薄的覆盖物对白天在炎热的草原上觅食的 Homo ergaster 来说是有益的，但在晚上需要时，这将是一个相当大的劣势 取暖。
We must be cautious, however, as there is no direct evidence as to when we evolved to become effectively hairless. Indeed, the idea itself is an illusion because we have the density of hair follicles on our bodies that would be expected of an ape of our size. The difference between ourselves and the chimpanzee is that our body hair is so fine and short that it is practically invisible. Such a light covering would have been beneficial for Homo ergaster when foraging on the hot savannah during the day, but it would have been a considerable disadvantage at night when needing to keep warm.
保暖可能是通过使用火或穿着某种形式的衣服来实现的。事实上，进化生物学家 马克·佩吉尔 （Mark Pagel） 和沃尔特·博德默 （Walter Bodmer） 认为，体毛的流失只有在我们的祖先发明人工技术之后才会发生 意味着让他们的身体保持温暖。11 一旦实现这一点，他们失去体毛将是有利的——不仅仅是为了热量调节 白天，但由于浓密的头发藏有大量的寄生虫，其中一些会传播疾病。所有灵长类动物 今天，人们花了大量时间互相梳理以消除这些寄生虫，这些时间可以花在做其他事情上，尤其是在社交纽带的情况下 正在通过“嗯嗯”实现。
Keeping warm may have been achieved by using fire or by wearing some form of clothing. Indeed, the evolutionary biologists Mark Pagel and Walter Bodmer have argued that the loss of body hair occurred only after our ancestors had invented artificial means to keep their bodies warm.11 Once that had been achieved, it would have been advantageous for them to lose their body hair – not only for heat regulation during the day but because thick hair harbours a great number of parasites, some of which would have spread disease. All primates today spend a considerable amount of time grooming each other to remove such parasites, time that could be usefully spent doing other things, especially if social bonding was being achieved by ‘Hmmmmm’.
虽然在相对较近的考古记录中没有服装的痕迹，但可能不超过 一个保存因素，有证据表明在 Koobi Fora 拥有 160 万年历史的 FxJj50 遗址使用了火 在肯尼亚。12 这是一块严重氧化的土壤，周围散落着石片和碎裂的动物骨头，被解释为篝火 它已经燃烧了好几天了。由于没有骨头显示出燃烧的迹象，因此很可能使用了火 提供温暖并阻止捕食者，而不是烹饪食物。因此，到 160 万年前，我们的 祖先失去了体毛，不仅获得了减少白天热应激的好处，而且还获得了减少的好处 寄生虫负荷。然后，他们将面临如何带着婴儿到处走的问题，没有任何东西可供他们抓住。 如果不能带他们，还有什么办法照顾他们。
While there are no traces of clothing in the archaeological record before relatively recent times, which may be no more than a factor of preservation, there is evidence for the use of fire at the 1.6 million-year-old site of FxJj50 at’ Koobi Fora in Kenya.12 This is a patch of heavily oxidized soil amid a scatter of stone flakes and fragmented animal bones, interpreted as a campfire that had been kept burning for several days. Since none of the bones show signs of burning, the fire was most probably used to provide warmth and deter predators rather than to cook food. It is possible, therefore, that by 1.6 million years ago our ancestors had lost their body hair and gained the advantages not only of reduced heat stress during the day but also of reduced parasite load. They would then have faced the problem of how to carry their infants around, with nothing for them to grasp, and, if they could not be carried, of how else to care for them.
Homo ergaster 似乎不太可能开始穿着“衣服”，例如皮革包裹、斗篷或斗篷，这些衣服可能提供了头发以外的其他东西 他们的婴儿要抓。一项巧妙的研究试图通过确定人类何时来确定服装的起源 体虱进化 – 以皮肤为食但生活在衣服内的虱子。Mark Stoneking 和来自 Max Planck 的同事 莱比锡研究所利用 DNA 重建了虱子的进化历史，并推断出人体虱子最早出现 大约 75， 000 年前，至少需要四万年。13 他们声称，这将虱子的起源以及因此穿着衣服与现代人类联系起来，从而留下了所有 我们的祖先和亲戚赤身裸体，但毛茸茸的。这似乎不太可能;例如，到 250， 000 年前，尼安德特人 生活在冰河时代的欧洲，没有衣服几乎无法生存。
It seems unlikely that Homo ergaster had begun wearing ‘clothes’, such as hide wraps, capes or cloaks, which might have provided something other than hair for their babies to grasp. One ingenious piece of research has attempted to date the origin of clothing by identifying when human body lice evolved – the lice that feed on skin but live within clothes. Mark Stoneking and colleagues from the Max Planck Institute in Leipzig used DNA to reconstruct the evolutionary history of lice and deduced that human body lice first appeared around 75, 000 years ago, give or take at least forty thousand years.13 This would, they claim, associate the origin of lice, and hence the wearing of clothes, with modern humans, leaving all of our ancestors and relatives naked but hairy. This seems most unlikely; by 250, 000 years ago, for instance, Neanderthals were living in ice-age Europe and could hardly have survived without clothing.
我的猜测是，简单的衣服，没有什么比兽皮包裹更复杂的了，会被早期人类在北方的风景中使用。 例如在 Boxgrove 屠宰动物的 Homo heidelbergensis。然而，最早的衣服可能不是为了保暖，而是为了抱婴儿。 Dean Falk 指出，在绝大多数现代和现代社会中，婴儿都是用吊带随身携带的，她 表明这些是第一种由兽皮或植物材料制成的“工具”。我可以很容易地想象这些也是 在 Boxgrove 使用。但 Falk 肯定是正确的，他认为在 双足行走和体毛脱落，但在使用此类支持之前，这很可能等同于 Homo ergaster。那么，他们将如何应对他们又大又无助的婴儿呢？
My guess is that simple clothes, nothing more complex than a hide wrap, would have been used by Early Humans in northern landscapes, such as the Homo heidelbergensis who butchered animals at Boxgrove. The very first garments, however, might not have been for warmth but for carrying babies. Dean Falk has noted that in the vast majority of modern and recent societies, infants are carried around in slings, and she suggests that these were the first type of ‘tool’ made from hide or vegetable matter. I can readily imagine these also being used at Boxgrove. But Falk is surely correct to suggest that there is likely to have been a period after the appearance of bipedalism and loss of body hair but before such supports were in use, which would most probably equate with Homo ergaster. How, then, would they have coped with their big, helpless babies?
上一章提出了一种可能性：使用非哺乳女性，尤其是祖母。但是这样的支持 主要是给断奶的婴儿，因为婴儿最常留在母亲身边，当然需要 定期喂养。需求喂养 – 每当婴儿哭泣要食物时喂养 – 在所有传统社会中都普遍存在，并且 需要母婴昼夜密切接触;它在现代西方社会的缺失是相当的 奇特。
One possibility was proposed in the previous chapter: the use of non-nursing females, especially grandmothers. But such support would have been principally for weaned infants, as babies most frequently remain with their mothers and, of course, require regular feeding. Demand-feeding – feeding whenever the baby cries for food – is pervasive in all traditional societies and requires close contact between mother and infant all day and night; its approved absence in modern Western society is quite peculiar.
第二种可能性是婴儿被“停放”——留在一个安全的地方，比如树冠——而母亲 在离“停车”点有一定距离的地方进行她的觅食、工具制造、求偶和其他活动，也许是为了 漫长的时间。这是许多小型灵长类动物（例如叶猴）使用的策略。但在 高等灵长类动物。这并不奇怪，因为它有可能让自己的婴儿受伤或被捕食者杀死，或者 甚至由自己群体中的另一个成员（例如不是父亲的男性）进行。此外，由于婴儿需要频繁喂养， 哺乳期的母亲在离开“停车”点的距离方面会受到限制。通常， 非洲大草原上的狩猎采集食腐动物生活方式，激烈的社会竞争和徘徊的食肉动物，是 与婴儿“停车”的正好相反——至少如果一个人希望再次找到自己的婴儿活着并且是单身 块。
A second possibility is that the babies were ‘parked’ – left in a safe place such as the crown of a tree – while the mother undertook her foraging, tool-making, courtship and other activities at some distance from the ‘parking’ spot, perhaps for lengthy periods of time. This is a tactic used by many small primates, such as langurs. But it is very rarely seen in the higher primates. This is not surprising, because it risks letting one’s infant injure itself or be killed by predators, or even by another member of one’s own group (such as a male who is not the father). Also, because infants require frequent feeding, lactating mothers would have been constrained as to the distance they could travel from the ‘parking’ spot. In general, the hunter-gatherer-scavenger lifestyle on the Africa savannah, with intense social competition and prowling carnivores, was the exact converse of what is amenable to baby ‘parking’ – at least if one wished to find one’s baby again alive and in a single piece.
解决这个大的、无助的、要求苛刻的婴儿问题的第三种替代解决方案是经常将婴儿 “放下” 在母亲的视线和声音范围内短暂停留，这与“停车”不同，在“停车”中失去了这种联系的可能性。这将 让母亲用双手摘水果、屠宰尸体、从河里喝水或啃石头;没有孩子她 可以伸手、弯曲、奔跑和伸展，并且只是从负重中获得一些缓解。当她准备搬家时 也许是去一片新的浆果地，或者用一块新碎的石片，她可以简单地把婴儿从地上舀起来。 每当孩子感到痛苦时，她都会这样做。
A third alternative solution to the big, helpless, demanding baby problem is the frequent ‘putting down’ of the infant for short periods within sight and sound of the mother, unlike ‘parking’ where the possibility of such contact is lost. This would allow the mother to use both hands to pick fruit, butcher a carcass, drink from a river or knap stone; without the baby she could reach, bend, run and stretch, and simply gain some relief from carrying its weight around. When she was ready to move on, perhaps to a new patch of berries or to use a newly chipped stone flake, she could simply scoop the baby up from the ground, as she could whenever the child became distressed.
Dean Falk 怀疑这种 “放下 ”确实发生了，并且对 “前语言交流 ”的发展至关重要。 因为，一旦婴儿被“放下”，母亲仍然会有眼神交流、手势、表情和话语来安抚 婴儿，这些是婴儿所希望的身体接触的替代品。情感操纵的韵律 Falk 认为，我们与 IDS 相关的话语可能是“母亲摇篮臂的无形延伸”。 在这方面，Homo ergaster 或 Homo heidelbergensis 的母亲与今天的智人母亲几乎没有区别。
Dean Falk suspects that such ‘putting down’ did indeed occur and was essential to the development of ‘prelinguistic communication’. For, once the baby is ‘put down’, the mother would still have eye contact, gestures, expressions and utterances to reassure the infant, these being substitutes for the physical contact that the infant would desire. The emotionally manipulative prosodic utterances that we associated with IDS would, Falk suggests, have been a ‘disembodied extension of the mother’s cradling arms’. In this regard, a Homo ergaster or Homo heidelbergensis mother would have been little different from a Homo sapiens mother today.
摇篮曲的起源
The origin of lullabies
这样的话语本来是必不可少的，因为人类婴儿比猿类婴儿更不喜欢被 “放下”，就像 现代人类婴儿的笑声、哭声与黑猩猩的呼吸性质不同，表现为呼吸急促 呼气与长时间吸气交替。到三个月大时，人类婴儿使用不同类型的哭泣来 表达不同的情绪，例如愤怒、饥饿或痛苦。现代人类婴儿的哭闹程度与此直接相关 在他们被单独留下的程度上;哭泣会增加抓握反射，这支持心理学家的论点 婴儿哭泣的主要原因是为了重新建立与母亲的身体接触。
Such utterances would have been essential because human babies do not like being ‘put down’ any more than ape babies, Like laughter, crying by modern human infants has a different respiratory nature from that of chimpanzees, occurring as short breathy exhalations alternating with long intakes of breath. By three months of age, human infants use different types of crying to express different emotions, such as anger, hunger or pain. The extent of crying by modern human babies is directly related to the extent to which they are left alone; crying increases the grasping reflex, which supports the arguments of psychologists that the major reason why infants cry is to reestablish physical contact with their mother.
正如 Dean Falk 推测的那样，早期人类的婴儿不太可能比 是现代猿类和人类的。同样，可以合理地假设婴儿的哭泣会产生相同的感觉 早期人类母亲的痛苦，就像我们今天自己的婴儿哭泣时所感受到的那样。当我们忙碌而无法接他们时，我们 用 IDS 的话语和手势安慰我们的宝宝——快速的这些几乎可以保证停止哭泣。 Falk 认为，IDS 的这种使用正是在两足行走的起源和 婴儿吊带的发明。
As Dean Falk speculates, Early Human babies are unlikely to have been any happier at being separated from their mothers than are those of modern-day apes and humans. Similarly, it is reasonable to suppose that infant crying created the same feelings of distress for Early Human mothers as we feel today when our own babies cry. When we are busy and cannot pick them up, we comfort our babies with the utterances and gestures of IDS – a rapid peal of these is almost guaranteed to stop the crying. This use of IDS is precisely what Falk believes was selected in that evolutionary gap between the origin of bipedalism and the invention of baby slings.
如果婴儿睡着了，一些 “放下 ”的时间可能会更长--正如每个父母都知道的那样，这是一个 那段时间是巨大的解脱，而且往往是激烈的活动。福尔克推测，第一首摇篮曲的前身很可能 》中的歌曲由第一批两足早期人类演唱。他们可能抱着、抚摸和轻轻摇晃他们的婴儿，也许 吃完奶后，如果他们像现代人的婴儿一样，他们自然会困倦。
Some of the periods of ‘putting down’ could have been longer if the baby fell asleep – which, as every parent knows, is a time of immense relief and often furious activity. Falk speculates that the precursors of the first lullabies are likely to have been sung by the first bipedal Early Humans. They may have cradled, stroked and gently rocked their infants, perhaps after feeding, when, if they were anything like modern human babies, they would have been naturally sleepy.
总之，福尔克认为，那些在生物学上倾向于照顾婴儿的母亲，当她们有 被强烈选择，通过使用发声、表情和手势;他们的基因，因此 这种行为会在人群中传播。她认为，进化的 IDS 最初是前语言的，并且 由缺乏象征意义但具有情感影响的旋律和节奏话语类型构成 我们在第 7 章中讨论过，我将其作为 'Hmmmmm' 的中心特征。但是，正如现代人的本性 IDS 本身会随着婴儿的成熟而变化，Falk 认为，随着时间的推移，“单词会在原始人中出现 前语言的旋律并变得约定俗成”。
In summary, Falk argues that those mothers who had a biologically based propensity to attend to their infants when they had been ‘put down’, by making use of vocalizations, expressions and gestures, were strongly selected; their genes, and hence such behaviours, would have spread in the population. She argues that the IDS that evolved was initially prelinguistic and was constituted by types of melodic and rhythmic utterances that lack symbolic meaning but that have the emotional impacts we discussed in chapter 7, and which I have placed as a central feature of ‘Hmmmmm’. But, just as the nature of modern human IDS itself changes as the infant matures, Falk argues that over evolutionary time ‘words would have emerged in hominids from the prelinguistic melodies and become conventionalized’.
First words: ‘Mama’ or ‘Yuk!’?
虽然从 'Hmmmmm' 中出现语言是我将在后面的章节中讨论的问题，但我将完成这篇评论。 福尔克的“放下”婴儿理论，她的想法是第一个词，然后提供我认为更有可能的替代方案。
Although the emergence of language from ‘Hmmmmm’ is an issue that I will address in a later chapter, I will finish this review of Falk’s ‘putting down’ baby theory with her idea for the first word, and then offer what I think is a more likely alternative.
福尔克认为，“认为英语单词'Mama'的等价物很可能具有 是早期原始人最早发展的约定俗成的词之一。毕竟，成熟的副语言婴儿岂不是吗， 当时和现在一样，倾向于为这张提供他们最初温暖、爱和安慰体验的面孔命名 旋律？14 嗯，也许吧，“妈妈”这个词很容易被想象成婴儿嘴里发出的声音 它希望母乳喂养并看着它的母亲。
Falk suggests that ‘it does not seem unreasonable to suggest that the equivalent of the English word “Mama” may well have been one of the first conventional words developed by early hominids. After all, wouldn’t maturing paralinguistic infants, then as now, be inclined to put a name to the face that provided their initial experiences of warmth, love and reassuring melody?’14 Well, maybe, and the word ‘Mama’ can readily be imagined as the sound emerging from the gestures of the baby’s mouth when it wishes to breastfeed and is looking at its mother.
除了提供安慰和关怀的温柔旋律之外，早期人类的母亲们还可能 “嗯嗯 ”什么 他们的孩子？“Yuk！”是一个很好的猜测，这是用来劝阻他们的宝宝不要触摸或吃东西的，比如 粪便或腐烂的肉，这会使他们生病。
Other than the gentle melodies to provide comfort and care, what else might Early Human mothers have been ‘Hmmmmm’-ing to their babies? ‘Yuk!’ is a good guess, this being used to dissuade their babies from touching or eating substances, such as faeces or rotting meat, that would make them ill.
“Yuk！”这个表达，以及“eeeurrr”等密切相关的发音，在现代人类的所有文化中都可以找到，并伴有 通过皱起鼻子和拉下嘴角的特征面部表情。这是表达式 厌恶，自查尔斯·达尔文时代以来，它就被认为是一种普遍的人类情感。15 当人们面对身体的排泄物、腐烂的食物和某些类型的生物，特别是蛆虫时，它就会出现。 'Yuk！'、'eeeurr' 和相关声音是它们伴随的面部表情的声音结果，是更多的例子 声音联觉 – 它们是黏糊糊的、粘稠的、有臭味的、渗出的声音，听起来像呕吐物、粪便、溢出的血液和 蛆看起来。
The expression ‘Yuk!’, and closely related sounds such as ‘eeeurrr’, are found in all cultures of modern humans, accompanied by the characteristic facial expression of wrinkling the nose and pulling down the corners of the mouth. This is the expression of disgust, which since the time of Charles Darwin has been recognized as a universal human emotion.15 It arises when people are faced with bodily excretions, decaying food, and certain types of living creatures, notably maggots. ‘Yuk!’, ‘eeeurr’ and related sounds are vocal consequences of the facial expressions they accompany and are further examples of sound synaesthesia – they are slimy, sticky, smelly, oozy noises, sounding the way that vomit, faeces, spilled blood and maggots look.
伦敦卫生与热带医学学院（London School of Hygiene and Tropical Medicine）的瓦莱丽·柯蒂斯（Valerie Curtis）对人们的发现进行了跨文化研究 令人作呕并得出结论，厌恶最好被理解为一种防御传染病的进化机制。16 通过内置它，我们不需要学习上面提到的任何物品都不应该被触摸或食用——我们知道 这自然而然地来自他们的外表和气味。实际上，一些教导似乎确实是必要的，因为厌恶的反应只是 在 2 至 5 岁的现代人类婴儿中发展;年幼的婴儿很喜欢吃任何东西 他们发现躺在地上。因此，所有文化的父母在制作 适当的面部表情，并将违规材料放在够不到的地方。
Valerie Curtis, of the London School of Hygiene and Tropical Medicine, has made cross-cultural studies of what people find disgusting and concluded that disgust can be best understood as an evolved mechanism for defence against infectious disease.16 By having this inbuilt, we don’t need to learn that any of the items named above should not be touched or eaten – we know that automatically from their look and smell. Actually, some teaching does appear necessary, as the disgust reaction only develops in modern human infants between the ages of two and five years old; younger infants are quite happy to eat whatever they find lying on the ground. And so parents in all cultures are frequently saying ‘Yuk!’ to their babies while making the appropriate facial expression and placing the offending material well out of reach.
想象一下，在非洲大草原上成为一名有爱心的 Homo ergaster 父母所面临的挑战。FxJj50 等地方似乎经常被重复使用，留下腐烂的肉、干燥的肉 供宝宝咀嚼的血液、人类和鬣狗粪便。如果你是 Boxgrove 的海德堡人母亲，你会如何防止你的婴儿爬进最近被屠宰的动物的内脏？ 如果没有 'Yuk！' 的 '嗯嗯'--ing，传染病可能不仅摧毁了这些物种，而且摧毁了整个 Homo 属，就像它开始发展一样。
Imagine the challenge of being a caring Homo ergaster parent on the Africa savannah. Localities such as FxJj50 appear to have been frequently reused, leaving rotting meat, dried blood, human and hyena faeces for your baby to chew upon. If you were a Homo heidelbergensis mother at Boxgrove, how would you have prevented your infant from crawling into the guts of a recently butchered animal? Without the ‘Hmmmmm’-ing of ‘Yuk!’, infectious disease may have knocked out not only these species but the whole of the Homo genus just as it had got going.
我必须在这里指出，我至少有一个 “Yuk！” 提案的“批评者”，我必须尊重他的观点，不是因为 由于她对人类进化的了解，但因为她抚养孩子的经验：Sue，我的妻子。她相信 “Yumyumyumyumyummm”——父母在试图劝说婴儿吃点东西时发出的声音——本来是进化的 优先于“Yuk！”。但正如我向她解释的那样，“Yumyumyumyumyummm”不是一个词，而是一个整体短语;它最初 意思是 'eat this lovely food， my darling' 之类的东西，但当孩子时，语调会随着 固执地拒绝开口。
I must note here that I have at least one ‘critic of the ‘Yuk!’ proposal, a critic whose views I must respect, not because of her knowledge about human evolution but on account of her experience in raising children: Sue, my wife. She believes that ‘Yumyumyumyumyummm’ – the sound a parent makes when trying to persuade a baby to eat some food – would have had an evolutionary priority over ‘Yuk!’. But as I have explained to her, ‘Yumyumyumyumyummm’ is not a word but a holistic phrase; it initially means something like ‘eat this lovely food, my darling’, but can alter its meaning as the intonation changes when the child stubbornly refuses to open its mouth.
返回博克斯格罗夫
Back to Boxgrove
Ellen Dissanayake 和 Dean.Falk 提供了令人信服的想法，说明早期人类婴儿的需求将如何 为发声和手势母婴互动的发展创造了选择压力，这本来是 一种音乐般的自然。这将为“嗯嗯”和第一个的进化前体提供另一个维度 今天智人使用的 IDS 阶段。
Both Ellen Dissanayake and Dean. Falk have provided compelling ideas about how the needs of Early Human infants would have created selective pressures for the development of vocal and gestural mother-infant interactions, which would have been of a music-like nature. This would have provided a further dimension to ‘Hmmmmm’ and the evolutionary precursor of the first stages of the IDS used by Homo sapiens today.
在上述 50 万年前博克斯格罗夫的生命情景中，母亲对她的婴儿唱歌只是两者之一 我希望用额外的 “音乐 ”事件来美化屠杀的场景。另一个是一群猎人的 到达泻湖时，他们带着一具新鲜宰杀的尸体一起唱歌，或者可能是一群 女人。甚至是一首所有男性和女性在吃完马肉后都加入的歌曲。无论什么 Specifics 中，很难抗拒某种形式的公共歌舞会发生在现场的想法 例如 Boxgrove 和 Bilzingsleben。毕竟，一起制作音乐是当今音乐最引人注目的特点之一。 为什么？
In the above scenario for life at Boxgrove 0.5 million years ago, the mother singing to her infant was just one of the two additional ‘musical’ happenings with which I wished to embellish the scene of butchery. The other is of a group of hunters arriving at the lagoon carrying a freshly killed carcass while singing together, or perhaps a communal dance by a group of women. Or even a song that all the males and females joined in with after they had eaten their fill of horse meat. Whatever the Specifics, it is difficult to resist the idea that some form of communal singing and dancing would have occurred at sites such as Boxgrove and Bilzingsleben. Making music together is, after all, one of the most compelling features of music today. Why is that?
14 一起制作音乐
14 Making music together
合作和社会纽带的重要性
The significance of cooperation and social bonding
Beethoven’s Choral Fantasia: Neanderthals when the winter ice begins to thaw
为什么人们喜欢一起做音乐？无论我们谈论的是合唱团、管弦乐队、足球人群、操场上的孩子们， 教堂会众，或 Kung Bushmen，所有这些正式和转瞬即逝的团体的成员彼此一起唱歌跳舞。 对于一些群体来说，这是他们存在的理由，对于其他群体来说，它是补充性的;对一些人来说，他们制作的音乐是经过精心排练的，对另一些人来说，它是自发的，可能是 完全是即兴创作的。音乐可能是为了崇拜神灵或“只是为了笑”。压倒所有这些多样性 是一个共同的主线：音乐制作首先是一项共享活动，不仅在现代西方世界，而且在整个世界 人类文化和历史。
Why do people like making music together? Whether we are talking of choirs, orchestras, football crowds, children in the playground, church congregations, or Kung Bushmen, the members of all such formal and fleeting groups sing and dance with each other. For some groups it is their raison détre, for others it is supplementary; for some the music they make is carefully rehearsed, for others it is spontaneous and may be entirely improvised. The music might be made to worship a divine being or ‘just for a laugh’. Overriding all such diversity is a common thread: music-making is first and foremost a shared activity, not just in the modern Western world, but throughout human cultures and history.
当我问我的家人和朋友为什么会这样时，他们很容易回答：“因为这很有趣 事情要做“、”因为它让我感觉很好“、”因为它建立了友谊并让我们团结在一起“等等。这样 回应并不令人惊讶;常识和我们自己的经验告诉我们，情况就是这样。然而，常识是 解释不充分，而且往往是错误的——记住，地球不是平的。音乐制作为什么以及如何创造社交 债券？为什么我们的思想和身体应该进化到让我们发现集体音乐制作如此愉快？
When I’ve asked members of my family and my friends why this is so, they readily provide the answers: ‘because it is a fun thing to do’, ‘because it makes me feel good’, ‘because it builds friendships and makes us bond together’, and so on. Such responses are not surprising; common sense and our own experience tell us that this is the case. Common sense, however, is an inadequate explanation and can often be wrong – remember, the earth is not flat. Why and how does music-making create social bonds? Why should our minds and bodies have evolved so that we find group music-making so pleasurable?
其他令人愉快的事情——吃饭和性爱——有明显的回报。在前面的章节中，我已经解释了为什么音乐制作 个人可能已经演变为一种令人愉快的活动：它可以用来操纵我们周围的人，传递信息 关于自然世界，向潜在的交配伴侣宣传一个人的可用性，并促进认知和 孩子的情感发展。但这些因素都无法解释为什么现代人类社会的音乐创作占主导地位 组活动。
Other pleasurable things – eating and sex – have obvious pay-offs. In previous chapters I have explained why music-making by individuals may have evolved as a pleasurable activity: it can be used to manipulate those around us, to transmit information about the natural world, to advertise one’s availability to potential mating partners, and to facilitate the cognitive and emotional development of one’s child. But none of these factors explains why music-making in modern human society is predominantly a group activity.
为了回答这个问题，本章遵循了一连串的论点，将我们从呱呱叫的青蛙带到行进的士兵， 并于 350， 000 年前在西班牙北部的 Atapuerca 遗址结束。在那里，我们将想象一群海德堡人在处理死者时集体唱歌跳舞。
To answer that question, this chapter follows a chain of argument that takes us from croaking frogs to marching soldiers, and finishes at the site of Atapuerca in northern Spain at 350, 000 years ago. There we will imagine communal singing and dancing by a group of Homo heidelbergensis as they dispose of their dead.
是关于性（又一次）吗？
Is it about sex (again)?
团体音乐制作涉及同步发声和动作。行为同步在自然界中极为罕见; 少数记录在案的例子包括萤火虫“闪烁”、青蛙呱呱叫和招潮蟹及时挥舞爪子 彼此。1 在每种情况下，解释似乎都是性的：同步闪烁、呱呱和挥手是由一群 雄性寻求吸引雌配。关于雄性为什么在这方面合作，已经提出了两种解释 方式，而不是简单地看谁能闪烁、呱呱叫或挥动“最响亮”的声音。首先是同步的 'signal' 可能比一大群的所有雄性独立表演吸引潜在捕食者的关注更少。 第二个是同步的 “信号 ”比所有雄性独立表演的情况更响亮。 这在与其他多男性群体争夺女性时可能很有价值。
Group music-making involves synchronizing vocalizations and movements. Behavioural synchrony is extremely rare in nature; the few recorded examples include fireflies ‘flashing’, frogs croaking, and fiddler crabs waving their claws in time with each other.1 In each case, the explanation appears to be sex: the synchronous flashing, croaking and waving are undertaken by groups of males seeking to attract females for mating. Two explanations have been put forward as to why the males cooperate in this manner, rather than simply seeing who can flash, croak or wave the ‘loudest’. The first is that the synchronized ‘signal’ may attract less attention from potential predators than if all the males of a large group were to perform independently. The second is that the synchronized ‘signal’ is louder’ than would be the case if all the males were to perform independently, and this may be of value when competing for females against other multi-male groups.
瑞典奥斯特松德生物音乐学研究所的 Björn Merker 支持第二种可能性 解释了我们的史前祖先假设的同步音乐制作，从而解释了我们今天的音乐能力。 默克假设早期的原始人——他没有具体说明是哪一个——具有类似于黑猩猩的社会组织 今天。也就是说，成熟的雌性离开了它们出生的群体，加入了另一个群体以进行交配 并抚养他们的孩子。默克认为，在这种情况下，任何一个群体中的男性都会有共同的利益 吸引“移动”的雌性，因此可能已经同步了她们的声音展示，作为超越雄性的一种手段 在另一个群体中——尽管这种行为在今天的黑猩猩或任何其他灵长类动物中都没有发现。
This second possibility has been favoured by Björn Merker, of the Institute for Biomusicology in Ostersund, Sweden, as a possible explanation for hypothesized synchronous music-making by our prehistoric ancestors, and hence for our musical abilities today. Merker assumes that early hominids-he is unspecific as to which – had a social organization similar to that of chimpanzees today. That is, the mature females left the group into which they had been born and joined another for the purposes of mating and rearing their young. In such circumstances, Merker suggests, the males in any one group would have had a shared interest in attracting ‘mobile’ females and hence may have synchronized their vocal displays as a means of out-competing the males in another group – although such behaviour is not found in chimpanzees or any other primate today.
呼唤的响度将直接反映两个因素，这两个因素都与女性选择哪个群体有关。 加入。首先，它将指示群体内男性的数量，这将提供资源可用性的衡量标准， 比如果树的丰富。其次，Merker 认为，雄性同步呼叫的能力会， 是衡量他们能够合作的程度的指标。因此，响亮、同步的呼叫将 不仅具有吸引女性的功能，还可以对男性起到威慑作用;来自可能试图侵入的其他团体 在他们的领土上。
The loudness of the call would be a direct reflection of two factors, both of interest to females choosing which group to join. First, it would indicate the number of males within the group, which would provide a measure of resource availability, such as the abundance of fruiting trees. Secondly, the ability of males to synchronize their calling would, Merker suggests, be a measure of the extent to which they were able to cooperate together. As a consequence, loud, synchronized calls would not only function to attract females but also serve as a deterrent to males; from other groups who might be tempted to intrude upon their territory.
现代黑猩猩似乎完全无法同步它们的发声。与人类不同，他们无法遵守 即使经过训练，也能击败。鉴于人类学家弗朗茨·德瓦尔 （Franz de Waal） 对圈养群体的以下观察，倭黑猩猩可能做得更好一些：“在合唱期间，不同个体的断断续续的吼叫是 几乎完全同步，因此一个人充当另一个人的“回声”，或者在 另一个。呼叫以每秒 2 次的稳定节奏发出。2 正如 Merker 所指出的，这与他所描述的真正同步的同时呼叫截然不同，后者是 这是人类音乐的特点。
Modern-day chimpanzees appear to be quite unable to synchronize their vocalizations. Unlike humans, they cannot keep to a beat, even with training. Bonobos may be able to do a little better in view of the following observation made on a captive group by the anthropologist Franz de Waal: ‘during choruses, staccato hooting of different individuals is almost perfectly synchronized so that one individual acts as the “echo” of another, or emits calls at the same moments as another. The calls are given in a steady rhythm of about two per second.’2 As Merker notes, this is rather different from the simultaneous calling that he describes as true synchrony and which is so characteristic of human music.
尽管如此，Merker 认为，这种多雄性同步呼叫是从嘈杂的合作呼叫演变而来的——类似 到黑猩猩在找到丰富食物来源时创造的那些——在人类、倭黑猩猩和黑猩猩的共同祖先中 在 600 万年前之前。用他的话说：“就像黑猩猩在新发现的大果树上喘气一样 吸引男性和女性的混合群体到骚动的地点，我们应该想象这些假设的原始人展示 回合作为关键的社交聚会，特定地区群体的所有特定成员都可能参与并参加 相当兴奋。3 一旦雌性被一群同步唱歌跳舞的雄性所吸引，她们就有机会 在个体雄性之间选择交配伙伴——就像杰弗里·米勒和他之前的查尔斯·达尔文所争论的那样。
Nevertheless, Merker argues that such multi-male synchronized calling evolved from noisy bouts of cooperative calling – similar to those made by chimpanzees when they find an abundant food source – among ancestors common to humans, bonobos and chimpanzees before 6 million years ago. In his words: ‘Just as chimpanzee pant-hooting displays at a newly discovered large fruiting tree attract mixed groups of males and females to the site of the commotion, we should picture these hypothetical hominid display bouts as key social gatherings with potential participation by all given members of a given territorial group and attended by considerable excitement.’3 Once females had been attracted to a group of males engaged in synchronized singing and dancing, they would have had an opportunity to choose between individual males for mating partners – just as Geoffrey Miller, and Charles Darwin before him, argued.
当我在第 12 章回顾米勒的性选择论点时，我注意到他自己是如何发现人的倾向的 一起唱歌和跳舞，这是对他关于音乐起源理论的挑战。默克的想法将有助于解决米勒的 如果它们对我们最早的原始人祖先、南方古猿和哈比利斯人可行，则两难境地。但我觉得这相当值得怀疑。
When I reviewed Miller’s sexual selection arguments in chapter 12, I noted how he himself had found the propensity for people to sing and dance together a challenge to his theory for the origin of music. Merker’s ideas would help to resolve Miller’s dilemma if they were feasible for our earliest hominid ancestors, the australopithecines and Homo habilis. But I find that rather doubtful.
Merker 想法的问题在于，原始人为了吸引配偶而同步呼叫也会吸引捕食者。 孤独原始人打的长途电话也是如此。我们知道，非洲大草原上的原始人正在争夺尸体 与食肉动物在一起，而且他们自己也经常成为猎物。他们将呼叫同步到 吸引流浪的雌性并阻止其他原始雄性群体似乎不太可能，尤其是当相对开放时 景观限制了它们通过爬树逃离捕食者的能力。对于这样的原始人来说，一个更有可能的策略 本来是要保持安静，希望徘徊的食肉动物会从他们身边经过。
The problem with Merker’s ideas is that synchronous calling by hominids in order to attract mates would also attract predators, as would long-distance calls by lone hominids. We know that hominids on the African savannah were competing for carcasses with carnivores, and that they often became the prey themselves. The idea that they would have synchronized their calls to attract wandering females and to deter groups of other hominid males seems most unlikely, especially when the relatively open landscape constrained their ability to escape from predators by climbing trees. A far more likely strategy for such hominids would have been to keep quiet and hope that the prowling carnivores would pass them by.
虽然同步呼叫在捕食者居住的环境中不是一种吸引雌性的可行方法， 尽管如此，我们仍然可以将 Merker 的论点概括为在男性，尤其是女性之间建立信任。 他们需要参与各种需要相互支持和依赖的行为。
Whereas synchronous calling would not have been a feasible method for attracting females in environments inhabited by predators, we might nonetheless generalize Merker’s arguments into that of building trust between males, and more particularly females, who need to engage in a variety of behaviours that require mutual support and reliance.
这是对第 8 章中描述的长臂猿二重唱最可能的解释。事实上，在现代人中， 那些相互依赖的群体特别容易一起创作音乐。William McNeill 整理了 他 1995 年出版的《Keeping Together in Time： Dance and Drill in Human History》一书中的相关证据。4 正如书名所暗示的那样，这本书主要是关于有节奏的身体运动。然而，这属于广义的定义 我所采用的音乐，麦克尼尔的论点既适用于一起唱歌，也适用于一起跳舞。
This is the most likely interpretation for the duetting by gibbons that was described in chapter 8. Indeed, among modern humans, those groups who are dependent upon each other are particularly prone to make music together. William McNeill collated the relevant evidence in his 1995 book entitled Keeping Together in Time: Dance and Drill in Human History.4 As the title implies, the book is primarily about rhythmic body movement. This falls, however, under the broad definition of music I have adopted, and McNeill’s arguments are as applicable to singing together as they are to dancing together.
麦克尼尔首先讲述了他在 1940 年代的军事生活经历，值得重复一遍。他描述 他如何在 1941 年被征召加入美国陆军，并与成千上万的其他年轻人一起接受基本训练。这涉及 在尘土飞扬的德克萨斯州平原上行军：'很难想象我们演习的更无用的练习，小时啊 下班后，齐声移动并响应喊出的命令给出数字，在烈日下大汗淋漓，等等 通常，在我们行进时数着节奏： Hut Hup Hip Four' 解释了最初看起来多么毫无意义 然后，他描述了随着时间的推移，“不知何故，我记得一种无处不在的幸福感感觉很好;更具体地说， 一种奇怪的个人放大感;一种膨胀，变得比生命更大，感谢集体的参与 仪式”。麦克尼尔继续解释说，他所有的同伴都产生了一种情绪高涨的感觉：“搬家 轻快地保持时间足以让我们自我感觉良好，满足于一起移动，而且模糊 对世界感到满意。5 这就是麦克尼尔在整本书中发展的论点的精髓：公共音乐创作是积极创造， 而不仅仅是反映那种令人愉悦的团结感。
McNeill starts with an anecdote about his experience of military life in the 1940s, which is worth repeating. He describes how he was drafted into the US Army in 1941 and underwent basic training with thousands of other young men. This involved a great deal of marching about on a dusty Texas plain: ‘a more useless exercise would be hard to imagine we drilled, hour after hour, moving in unison and giving the numbers in response to shouted commands, sweating in the hot sun, and every so often, counting out the cadence as we marched: Hut Hup Hip Four’ Having explained how pointless the drilling initially appeared to be, he then describes how in time it ‘somehow felt good a sense of pervasive well-being is what I recall; more specifically, a strange sense of personal enlargement; a sort of swelling out, becoming bigger than life, thanks’ to participation in collective ritual’. McNeill goes on to explain that a feeling of emotional exaltation was induced in all of his fellow recruits: ‘Moving briskly and keeping in time was enough to make us feel good about ourselves, satisfied to be moving together, and vaguely pleased with the world.’5 This is the essence of the argument that McNeill develops throughout his book: communal music-making is actively creating, rather than merely reflecting, that pleasing sense of unity.
在某些情况下，音乐本身通过有节奏地促进身体协调来帮助完成集体任务。但 在大多数情况下，它似乎是由音乐引起的认知协调，即共同情绪的唤醒 状态和对音乐制作人同行的信任。麦克尼尔提供了许多来自传统社会的例子。他引用了人类学家的话 描述希腊村民的集体舞蹈让他们感到“轻松、平静和快乐”，或者描述喀拉哈里布须曼人，对他们来说“作为 在舞会上让我们心欢喜”。
In some cases music itself aids the performance of a collective task by rhythmically facilitating physical coordination. But in the majority of cases it appears to be cognitive coordination that is induced by the music, the arousal of a shared emotional state and trust in one’s fellow music-makers. McNeill provides many examples from traditional societies. He cites anthropologists describing Greek villagers whose communal dancing makes them feel ‘light, calm and joyful’, or Kalahari Bushmen for whom ‘being at a dance makes our hearts happy’.
产生这种感觉的原因之一可能只是大脑中内啡肽的释放，这些化学物质具有主要的 在疼痛控制中的作用。它们是由任何体育活动触发的，因此参加运动不仅可以改善我们的身体素质 但也让我们心情愉快。进化心理学家罗宾·邓巴 （Robin Dunbar） 提出，公共音乐制作会导致参与者大脑中的内啡肽激增，使他们感到快乐并对每个人都有好感 其他。6 这还没有得到正式的检验，它也引出了一个问题，即如果 自我诱导的内啡肽固定可以通过单独唱歌或跳舞来实现。一个原因可能是内啡肽激增明显 与他人一起制作音乐时效果更好。但是，我们必须问为什么进化会以这种方式“设计”我们的大脑： 为什么公共活动如此重要？
One of the reasons for such feelings might be simply the release of endorphins in the brain, chemicals that have a primary role in pain control. They are triggered by any physical activity, hence playing sport not only improves our physical fitness but also puts us in a good mood. The evolutionary psychologist Robin Dunbar has proposed that communal music-making leads to endorphin surges within the brains of the participants, resulting in them feeling happy and well disposed towards each other.6 This has yet to be formally tested, and it also begs the question of why we should bother with communal music-making if a self-induced endorphin fix can be achieved by singing or dancing alone. One reason might be that the endorphin surge is significantly greater when making music with others. But then we must ask why evolution should have ‘designed’ our brains in this manner: why is communal activity so important?
在这里，我想起了约翰·布莱金（John Blacking）的研究，我在前面的章节中已经提到过。他承担了最 当他在 1950 年代研究南非的文达人时，对公共音乐制作进行了信息丰富的研究。他描述 他们如何表演公共音乐，不仅仅是为了消磨时间，也不是出于任何“神奇的原因”，例如创造更好的收成， 当他们面临饥饿或压力时也是如此。事实上，他们做的恰恰相反：当食物被食物时，他们制作公共音乐 丰富。布莱金相信他们这样做了，恰恰是在个人能够追求自身利益的时候 为了确保为整个社会的利益而共同努力的必要性被作为他们的关键 价值通过他们的音乐制作所需的特殊合作水平来实现。7
Here I am reminded of John Blacking’s studies, to which I have referred in earlier chapters. He undertook one of the most informative studies of communal music-making when he studied the Venda people of South Africa during the 1950s. He described how they performed communal music not simply to kill time, nor for any ‘magical reasons’ such as to create better harvests, nor when they were facing periods of hunger or stress. In fact, they did the reverse: they made communal music when food was plentiful. Blacking believed they did so, at times when individuals were able to pursue their own self-interest, precisely in order to ensure that the necessity of working together for the benefit of society as a whole was maintained as their key value through the exceptional level of cooperation that was required in their music-making.7
麦克尼尔热衷于“边界丧失”的概念——集体音乐制作导致“自我意识模糊”的方式 以及与所有参与舞蹈的人的同情心的增强”。麦克尼尔认为，这种感觉的根源在于 我们的进化历史，“当我们的祖先在野外狩猎之前和之后围着他们的篝火跳舞时， 危险动物”。那些练习狩猎并通过舞蹈提高协调水平的人会，他 表明，在生殖上更加成功，导致他们能力的遗传传递，最终 在现代世界以多种方式被利用——尤其是教官。
McNeill is keen on the notion of ‘boundary loss’ – the manner in which group music-making leads to ‘a blurring of self-awareness and the heightening of fellow feeling with all who share in a dance’. The origin of such feelings, McNeill argues, lies in our evolutionary past, ‘when our ancestors had danced around their camp fires before and after faring forth to hunt wild and dangerous animals’. Those individuals who practised the hunt and enhanced their levels of coordination via dance would, he suggests, have been reproductively more successful, leading to the genetic transmission of their capability, which eventually came to be tapped in a great variety of ways in the modern world – not least by drill sergeants.
至少可以说，麦克尼尔将史前生物描述为围着篝火跳舞是过于简单化的。他其实并不 回答为什么集体音乐制作应该导致增强的生殖成功的问题，超出了他的一般断言 关于增强的团队凝聚力。但他的“边界损失”概念具有相当大的价值。要理解原因，我们需要查看 而是更密切地关注合作行为在人类进化中的重要性。
McNeill’s characterization of prehistoric life as dancing around campfires is simplistic, to say the least. He does not really answer the question of why group music-making should lead to enhanced reproductive success, beyond his general assertions about enhanced group cohesion. But his notion of ‘boundary loss’ is of considerable value. To understand why, we need to look rather more closely at the significance of cooperative behaviour in human evolution.
合作还是叛逃？
Cooperate or defect?
在原始人社会中，合作的重要性在早期章节中经常出现：为了捕食者的防御，为了狩猎 以及拾荒，为了照顾孩子，事实上，为了我们的祖先会从事的几乎所有其他行为。
The importance of cooperation in hominid society has frequently arisen in early chapters: for predator defence, for hunting and scavenging, for childcare, and, indeed, for almost all other behaviours in which our ancestors would have engaged.
虽然很容易理解合作行为在早期人类社会中会很普遍，但就像它一样 今天，解释它是如何演变和持续的要困难得多。当用“自私的 基因“，达尔文理论告诉我们，要成为成功的生殖者，个人应该照顾自己的利益。 也许这就是我们合作时所做的：我们向他人提供帮助，期望得到帮助 被退回。学者们探索这个问题的经典方法是“囚徒困境”模型——一个简单但非凡的模型 理解复杂社交情境的强大方式。8
While it is easy to appreciate that cooperative behaviour would have been pervasive in Early Human society, just as’ it is today, explaining how it evolved and has been sustained is rather more difficult. When couched in the language of ‘selfish genes’, Darwinian theory tells us that to be reproductively successful individuals should be looking after their own interests. Perhaps that is simply what we are doing when we cooperate: we provide help to others in the expectation that the favour will be returned. The classic means by which academics explore this is the ‘prisoner’s dilemma’ model – a simple but extraordinarily powerful way of understanding complex social situations.8
这个模型描述了我们作为个体所处的许多社会情境，它也可以被应用 更广泛地说，是指群体之间的互动，实际上是整个民族国家之间的互动。它使我们能够专注于关键问题 参与合作，这反过来又会引导我们认识到共同制作音乐的内在价值。该名称来源于 在一个特定的场景中，我们想象两个囚犯被逮捕并被指控犯罪。囚犯们， 称他们为 A 和 B，是分开的，每个人都得到同样的待遇：'如果你坦白而你的伴侣不承认，你会得到 轻判（比如一年），你的伴侣将被判处长期监禁（十年）;如果你们两个都不认， 你们都将被判处中等刑期（两年）;如果你们俩都认罪，你们将被判处长期徒刑（七年）。
This model describes a great many of the social situations in which we find ourselves as individuals, and it can also be applied more widely to interactions between groups and, indeed, between entire nation states. It enables us to focus on the key issues involved in cooperation, which in turn will lead us to the inherent value of making music together. The name derives from one particular scenario in which we imagine two prisoners who have been arrested and charged with a crime. The prisoners, call them A and B, are separated, and each is offered the same deal: ‘If you confess and your partner doesn’t, you will get a light sentence (say, one year) and your partner will be imprisoned for a long time (ten years); if neither of you confess, you’ll both receive a medium sentence (two years); if both of you confess, you will serve a lengthy sentence (seven years).’
每个囚犯应该怎么做？他们的困境是，如果囚犯 A 和 B 都认罪，那么他们都将获得更长的刑期 判刑，而不是他们都保持沉默——七年而不是两年。但是，如果囚犯 A 在囚犯 B 供认不讳，那么前者将面临更长的刑期——十年。
What should each prisoner do? Their dilemma is that if Prisoners A and B both confess, then they will each receive a longer sentence than if they had both remained silent – seven years rather than two. But if Prisoner A remains silent while Prisoner B confesses, then the former will face an even longer sentence – ten years.’
囚徒困境模型是博弈论的一个方面，用于分析经济学中许多学科的行为 到生态学。这些选择通常用 “合作 ”和 “背叛 ”的抽象术语来描述;在上述场景中，剩余 沉默是与伴侣合作的一种形式，而坦白是背叛的一种形式。两个囚犯都有最大的收获 如果他们都合作，但如果一个人试图合作而另一个人背叛，那么大多数人都会输。
The prisoner’s dilemma model is an aspect of game theory, which is used to analyze behaviour in many disciplines from economics to ecology. The choices are usually described in abstract terms of ‘cooperation’ and ‘defection’; in the above scenario, remaining silent is a form of cooperation with one’s partner, while confessing is a form of defection. Both prisoners have most to gain if they both cooperate, but most to lose if one attempts to cooperate while the other defects.
如果这种情况只出现一次，囚犯们再也见不到彼此，那么显然是最明智的策略 是 confess，因为这会最大限度地减少可能出现的句子的最大长度。但是，如果囚犯们过去了 经历过类似的情况，并预期它可能会再次发生，因此他们更难做出决定。如果、 例如，囚犯 A 在这种情况下保持沉默，这是否会使囚犯 B 也更有可能保持沉默 在下一次，从而减少可能的监禁刑期？但是，如果囚犯 B 已认罪，导致囚犯 A 服刑 长期监禁，然后在下一次囚犯 A 可能会出去报仇，或者至少不会有信心 在他的伙伴保持沉默中。
If this situation arises just once, and the prisoners are never to see each other again, then clearly the most sensible strategy is to confess, because this minimizes the maximum length of the sentence that might arise. But if the prisoners have past experience of a similar situation, and expect that it might happen again, their decision is more difficult to make. If, for instance, Prisoner A were to remain silent on this occasion, would that make it more likely that Prisoner B would also remain silent on the next occasion, thus reducing the possible prison sentence? But if Prisoner B had confessed, causing Prisoner A to serve a long prison sentence, then on the next occasion Prisoner A may be out to seek revenge, or at least will have little confidence in his partner remaining silent.
囚徒困境模型的乐趣在于它抓住了现实生活情况的本质。当 我们必须决定是否帮助一个陌生人，一个我们再也见不到的人。然而，我们 必须决定是否帮助那些我们肯定会再次见面的人——我们的家人、朋友或同事。 对于他们中的每一个，我们都会对他们的可信度、他们的忠诚度和他们自己乐于助人的意愿有看法;因此 我们根据他们过去对待我们（和他人）的方式来做决定。9
The delight of the prisoner’s dilemma model is that it captures the essence of real-life situations. Occasions do arise when we have to decide whether to help out a stranger, someone whom we will never meet again. Far more frequently, however, we have to decide whether or not to help those we will definitely meet again – members of our family, friends or colleagues. For each of these we will have views about their trustworthiness, their loyalty and their own willingness to be helpful; hence we base our decisions on the way they have treated us (and others) in the past.9
如何表现？
How to behave?
一个人是否应该始终合作，冒着一再被当作傻瓜的风险？或者，一个人总是背叛并冒着失败的风险 如果其他人都选择合作，会得到最好的回报？
Should one always be cooperative and risk being repeatedly taken for a sucker? Or should one always defect and risk losing out on the best returns which would come if everyone else were to choose to be cooperative?
罗伯特·阿克塞尔罗德 （Robert Axelrod） 在 1980 年代初期提出了这个问题，并通过最新颖、最有趣的科学之一找到了答案 方法 – 计算机囚徒困境锦标赛。他邀请博弈论专家提交计算机程序，这些程序将 互相对战，根据游戏中之前的互动来决定是合作还是叛逃。每场比赛 有 200 次“移动”——合作或叛逃的机会——每个程序都与所有其他程序对战，包括 一个完全随机做出决定，以及反对自己的决定。
Robert Axelrod asked this question in the early 1980s, and found the answer by one of the most novel and entertaining of scientific methods – a computer prisoner’s dilemma tournament. He invited experts in game theory to submit computer programs that would play against each other, deciding whether to cooperate or defect on the basis of previous interactions in the game. Each game had 200 ‘moves’ – opportunities to cooperate or defect – and each program played against all the other programs, including one that made entirely random decisions, as well as against itself.
包括经济学家、心理学家、数学家、社会学家和政治学家在内的团体提交了 14 个项目 科学家。有些程序很慷慨，经常与对手合作——并且经常被利用。其他人是 Unforgiving：如果他们的伙伴曾经背叛他们，那么他们将在游戏的剩余时间内背叛。最简单的方法之一 被称为“TIT FOR TAT”，它确实做到了。在第一场比赛中，TIT for TAT' 试图合作。随后，它 复制对手在前一场比赛中所做的任何事情;如果对手叛逃，那么 TIT for TAT' 将在下一个叛逃 游戏，合作也是如此。
Fourteen programs were submitted by groups including economists, psychologists, mathematicians, sociologists and political scientists. Some programs were generous, frequently cooperating with their opponent – and were often exploited. Others were unforgiving: if their partner ever defected against them, then they would defect for the rest of the game. One of the simplest was called ‘TIT for TAT’, and it did exactly that. In the first game, TIT for TAT’ attempts to cooperate. Subsequently, it copies whatever its opponent did in the previous game; if the opponent defects, then TIT for TAT’ will defect on the next game, and similarly for cooperation.
几个反对 TIT for TAT 的项目建立了合作历史，然后偶尔试图欺骗 他们的对手通过叛逃;其他人试图通过评估对手合作的可能性来“理解”他们的对手 或者叛逃然后回应，以最大化自己的回报。事实上，一些程序能够击败 'TIT for TAT' 在任何一场比赛中。但是当所有程序都播放所有其他程序时，'TIT FOR TAT 是最成功的。这个游戏似乎是合理的 现实生活中的社交场合的模型，在这些场合中，我们必须与许多不同类型的人互动——有些慷慨，有些 宽容，有些人的行为完全可以预测，有些人则完全深不可测。
Several of the programs pitched against TIT for TAT’ built up a history of cooperation and then tried occasionally to cheat their opponent by defecting; others tried to ‘understand’ their opponent by assessing the probability that it would cooperate or defect and then responding so as to maximize their own returns. Indeed, some of the programs were able to beat ‘TIT for TAT’ in any one game. But when all programs played all others, ‘TIT for TAT was the most successful. The game seems a reasonable model for real-life social situations in which we have to interact with many different kinds of people-some generous, some forgiving, some entirely predictable in their behaviour, and some completely unfathomable.
当然，现实世界在很多方面都比囚徒困境要复杂得多。我们 必须选择是否与其他人合作或叛逃永远不会与以前出现的情况相同（因为 他们参加了 Axelrod 的计算机锦标赛）。我们还面临着试图评估其他人是否做了或做了的问题 不合作;我们可能不得不相信他们的话，或者他们可能会声称他们试图合作但犯了一个错误， 或者我们可能会误解他们试图做的事情。
The real world is, of course, far more complex than the prisoner’s dilemma in a great many ways. Any situation in which we have to choose whether to cooperate or defect with someone else will never be identical to one that has arisen before (as they were in Axelrod’s computer tournament). We also face the problem of trying to assess whether someone else did or did not cooperate; we may have to take their word for it, or they may claim that they attempted to cooperate but made a mistake, or we may misinterpret what they were attempting to do.
心智理论、自我认同和群体认同
Theory of mind, self-identity and group identity
因为现实世界非常“混乱”，我们一直在试图评估我们周围的人会做什么 任何情况：他们会合作还是叛逃？在当今世界，自从物质符号被发明以来，我们就在短路 这个决策过程通过穿着特定类型的衣服和装饰品来为我们的地位提供额外的线索， 我们的个性，以及我们希望与之合作的人 – 以老式领带为代表，包括制服等物品， 纹章、名牌服装、团队颜色等等。但是，我们的非象征性原始人无法获得这样的文化支持 祖先。
Because the real world is so very ‘messy’, we are in a constant state of trying to assess what those around us will do in any situation: will they cooperate or defect? In today’s world, and ever since material symbols were invented, we short-circuit this decision-making process by wearing particular types of clothing and ornaments that provide extra clues as to our status, our personality, and those with whom we wish to cooperate – epitomized by the old school tie and including such items as uniforms, heraldry, designer clothes, team colours and so forth. But such cultural supports were unavailable to our non-symbolic hominid ancestors.
许多人类学家认为，在复杂的社会环境中生存的挑战，其中关于合作的决定 是至高无上的，产生了心智理论，这是我们除了语言之外最重要的心理属性。事实上，它被广泛 认为语言的进化取决于拥有这种能力。
Many anthropologists believe that the challenge of surviving in a complex social environment, in which decisions about cooperation were paramount, gave rise to the theory of mind, our most important mental attribute other than language. In fact, it is widely thought that the evolution of language was dependent upon the possession of this Capability.
我在第 8 章中讨论了我们在决定如何互动时如何经常进行“读心术”时引入了这个概念 与另一个人。这通常很容易，因为他们可能以公开的方式行事，穿着特定类型的衣服， 或使用肢体和/或口头语言告诉我们他们是生气、悲伤还是快乐，无论他们是值得信任的还是回避的 或被利用。在这种情况下，我们根本不需要心理理论，我们只需要成为一个好的“行为主义者”。但 在其他情况下，我们确实需要思考他们在想什么;这涉及思考他们认为我们是什么样的 思维。
I introduced this notion in chapter 8 when discussing how we often engage in ‘mind-reading’ when deciding how to interact with another person. Often this is quite easy, as they may be behaving in an overt way, wearing particular types of clothes, or using body and/or spoken language to tell us that they are angry, sad or happy, whether they are to be trusted, avoided or exploited. In such situations we don’t really need a theory of mind at all, we just need to be a good ‘behaviourist’. But on other occasions we do need to think what they are thinking; and that involves thinking what they are thinking that we are thinking.
我们反思自己的思想，审视自己的信仰和愿望，并欣赏它们如何与之形成对比 我们周围人的那些，是我们自我意识不可或缺的一部分。事实上，我认为这种心理自我反省是认识到自己是独特个体的基础;拥有心智理论是同义词 与意识。因此，当我们处于类似于囚徒困境的境地时，我们会有意识地反思什么 正在经历我们自己的思想，以及游戏中其他“玩家”的思想。当我们得到这个 错误，我们可能会犯社交失态，例如通过讲不恰当的笑话来冒犯。更严重的是，众所周知的 二手车推销员，看起来如此值得信赖，但实际上他/她恰恰相反，可以剥削我们。
The fact that we reflect on our own minds, that we examine our own beliefs and desires and appreciate how they Contrast with those of the people around us, is integral to our sense of self. Indeed, I would argue that such mental self-reflection is fundamental to recognizing ourselves as unique individuals; having a theory of mind is synonymous with consciousness. Consequently, when we are in a situation similar to a prisoner’s dilemma, we consciously reflect on what is going through our own minds and what might be going through the minds of the other ‘players’ in the game. When we get this wrong, we can make social gaffes, such as causing offence by telling an inappropriate joke. More seriously, the proverbial second-hand car salesman, who appears so trustworthy when in fact he/she is quite the opposite, can exploit us.
其结果是，选择与他人合作成为一项极其困难的任务。这种情况更加严重 因为大多数情况涉及不只是与另一个人合作，而是与几个人合作。这肯定会 我们的原始人祖先也是如此。想象一下北欧冰河时代景观 500 度的情景， 000 年前，几个人或小团体早上从他们的大本营出发寻找植物 食物和动物尸体。通过互惠的食物分享安排，获得的全部或部分食物将被退回 到大本营，以便在群组中分发。那些找不到任何可分享的人将被容忍，因为他们的贡献 将在未来的觅食之旅中进行，届时将轮到他们成功，而其他人则空手而归。
The consequence is that choosing to cooperate with others becomes an extremely difficult undertaking. This is exacerbated because the majority of situations involve cooperating not with just one other person but with several. This would certainly have been the case for our hominid ancestors too. Imagine a scenario in the ice-age landscapes of northern Europe at 500, 000 years ago in which several individuals or small groups set off from their base camp in the morning to search for plant foods and animal carcasses. With a reciprocal food-sharing arrangement, all or some of the acquired food will be returned to the base camp for distribution among the group. Those who found nothing to share will be tolerated because their contribution will be made on a future foraging trip, when it would be their turn to be successful and that of others to return empty-handed.
在这种情况下——以及可能出现的许多其他情况，例如公共狩猎和对捕食者的警告——每个人都是个体 将与所有其他个体一起处于囚徒困境中：应该合作带回食物，还是干脆 自己吃光了，空手而归？选择后者的人被称为“搭便车者”;他们使自己受益 通过叛逃并在其他人都在合作的情况下被忽视。
In this scenario – and many others that would have arisen, such as communal hunting and warning about predators – each individual would be in a prisoner’s dilemma situation with all other individuals: should one cooperate and bring back food, or simply eat it all oneself and come back empty-handed? Those who choose the latter are termed ‘free-riders’; they benefit themselves by defecting and going unnoticed while everyone else is cooperating.
一起制作音乐有什么帮助？
How does making music together help?
我们人类祖先面临的困境，以及今天仍然面临的困境，是如何确保合作发生 每个人都是互惠互利的，而不是无处不在的背叛，让每个人都蒙受损失。
The dilemma facing our human ancestors, and which continues to face us today, is how to ensure that cooperation occurs to everyone’s mutual benefit, rather than pervasive defection, to everyone’s loss.
当罗伯特·阿克塞尔罗德 （Robert Axelrod） 在他 1984 年出版的《合作的演变》一书中描述他的计算机囚徒困境锦标赛时，他特别解决了如何在现实世界中促进合作的问题。他的两个建议 似乎准确地描述了人们一起创作音乐时所取得的成就。首先是“扩大未来的阴影”。 他的意思是，与现在的互动相比，任何未来的互动都显得相对重要。制作 Music Together 似乎是实现这一目标的理想方式，因为它是一种成本非常低的合作形式。如果我开始唱歌，而你要把你的声音和我的声音同步，那将是一种 合作，我认为您愿意在未来再次与我合作。我可能会更改 旋律或节奏来测试你是否会跟随我的领导;你可以做同样的事情。我们也可能都知道第三人 拒绝加入我们的歌曲，或故意唱另一首歌，并将其解释为他们不愿意合作的标志 现在和将来都与我们同在。
When Robert Axelrod described his computerized prisoner’s dilemma tournament in his 1984 book The Evolution of Cooperation, he specifically addressed the question of how cooperation can be promoted in real-world situations. Two of his proposals seem to describe precisely what is achieved when people make music together. The first is to ‘enlarge the shadow of the future’. By this, he meant making any future interactions appear relatively important when compared with those of the present. Making music together seems to be an ideal way of doing this, because it is a form of cooperation with very little cost. If I were to start singing and you were to synchronize your voice with mine, that would be a form of cooperation, and I would take it as a willingness on your part to cooperate with me again in the future. I might change the melody or rhythm to test whether you would follow my lead; you might do the same. We might also both be aware of a third person who refuses to join our song, or who deliberately sings another, and interpret that as a sign of their unwillingness to cooperate with us both now and in the future.
Axelrod 的第二个建议很简单，“频繁的互动有助于促进稳定的合作”。这也可以实现 通过音乐制作，这不仅“便宜”，而且可以嵌入到其他活动中。所以当我在书房里写作时 我可能会（非常糟糕地）跟着背景音乐唱歌;我的妻子，也许在家里的其他地方工作，可能会 加入 （唱歌非常好听） – 这是我们主要从事其他任务时进行的廉价互动。一罐 很容易想象大草原上露营地的原始人或苔原上的早期人类也会有同样的情况——有些人正在切割尸体， 其他人刮皮或敲打石头;在此过程中，他们可以一起唱歌，在参与时在彼此之间建立联系 在他们自己的个人活动中。
Axelrod’s second proposal is simply that ‘frequent interactions help promote stable cooperation’. This can also be achieved by music-making, which is not only ‘cheap’ to do but can be embedded into other activities. So when I am writing in my study I may sing along (very badly) to the music playing in the background; my wife, perhaps working elsewhere in the house, might join in (singing very nicely) – it is a cheap interaction undertaken while we are primarily engaged in other tasks. One can readily imagine the same for hominids at a campsite on the savannah, or Early Humans on the tundra – some are cutting carcasses, others scraping skins or knapping stone; while doing so they can sing together, forging a bond between themselves while engaged in their own individual activities.
因此，音乐制作是一种廉价且简单的互动形式，可以表现出合作的意愿，因此可以促进 当有实质性的收益时，例如在食物共享或公共狩猎的情况下，未来的合作。 它可以被认为是“以 TIT 换 TAT”战略的第一步，即始终合作，可以实施 没有风险，因为如果其他成员叛逃，也没有什么可失去的——也就是说，如果他们不参加歌舞。 然而，正是因为联合音乐制作的成本和好处很少，所以搭便车 可能会利用这种情况。他们可以很容易地加入音乐制作，因为他们没有什么可失去的，然后 只要他们认为自己有短期利益，就干脆叛逃。
Thus music-making is a cheap and easy form of interaction that can demonstrate a willingness to cooperate and hence may promote future cooperation when there are substantial gains to be made, such as in situations of food sharing or communal hunting. It can be thought of as the first move of a ‘TIT for TAT’ strategy that is to always cooperate, one that can be undertaken at no risk because there is nothing to lose if the other members defect – that is, if they do not join in the song or dance. However, it is precisely because there are very few costs arid benefits associated with joint music-making that free-riders could exploit the situation. They could easily join in with the music-making, because they have nothing to lose, and then simply defect whenever they perceive a short-term gain for themselves.
自我意识
A sense of self
正因为如此，麦克尼尔的“边界损失”概念如此重要。我之前解释过一个人的自我认同 与一个人拥有一套对自己来说相当独特的信念、欲望和感受的感觉密切相关。
It is because of this that McNeill’s notion of ‘boundary loss’ is so important. I explained earlier that one’s self-identity is intimately related to the feeling that one has a suite of beliefs, desires and feelings that are quite unique to oneself.
当人们聚在一起参加集体活动时 – 家庭聚餐、与同事会面、足球队集结 对于匹配项 – 他们通常来自完全不同的直接体验。我可能会在工作中迟到 因为另一次会议被打断而感到愤怒;一些等待我的人对我的缺席感到沮丧，其他人则很高兴; 有些人因为度过了美好的一天而感到快乐，有些人则感到沮丧。在这种情况下，我们有一个非常深刻的 自我意识，并迅速将我们的思想付诸行动，在决定说什么之前评估他人的感受——至少， 如果会议要成功，我们就会这样做。
When people join together for a group activity – a family meal, a meeting with work colleagues, a football team assembling for a match – they typically arrive from quite different immediate experiences. I might arrive late for a meeting at work feeling angry because another meeting overran; some of those waiting for me are frustrated by my absence, others are pleased; some are feeling happy because they have had a good day, others are feeling gloomy. In such a situation we have a very profound sense of self, and rapidly put our minds into action to assess the feelings of others before deciding what to say – at least, we do if the meeting is going to be a success.
所有小组活动都以类似的方式开始。当五六只原始人或早期人类一起出发狩猎或观察时 对于胴体，其中一只可能感到饥饿，另一只可能感到恐惧;他们中的一些人可能想走一条路，而 其他人则认为相反的方向是最好的。当每个人都以不同的情绪状态开始集体活动时， 冲突、叛逃和搭便车的形势已经成熟。
All group activities start in a similar way. When five or six hominids or Early Humans set out together to hunt or to look for carcasses, one of them might have been feeling hungry, another fearful; some of them may have wanted to go one way, while others believed the opposite direction was best. When each individual begins a group activity in a different emotional state, the situation is ripe for conflict, defection and free-riding.
任何群体的不同成员所经历的不同情绪反映了不同的心理状态，并将直接影响 如何看待世界以及人们认为不同行动（包括合作）的成本和收益是什么 或叛逃。正如我在第 7 章中解释的那样，“快乐”的人往往更合作。试图达成共识并广泛 当每个人都处于不同的心情时，合作是特别困难的，因为我们中的许多人都非常清楚。
The different emotions experienced by different members of any group reflect different states of mind, and will directly affect how the world is perceived and what are thought to be the costs and benefits of different actions, including those of cooperating or defecting. As I explained in chapter 7, ‘happy’ people tend to be more cooperative. Trying to achieve consensus and widespread cooperation when everyone is in a different mood is particularly difficult, as many of us will be all too well aware.
在这种情况下，一起制作音乐会有所帮助，因为它会导致强烈的自我感受的减少——或者，为了 使用 McNeill 的术语“边界损失”。这就是足球爱好者、教堂合唱团和操场上的孩子们的过程 都很吸引人。在某些情况下，这是在双方同意和理解的情况下，例如日本工厂的员工 在开始工作之前唱公司歌曲的人。在其他情况下，人们纵，比如纳粹集会上的高呼。
Making music together will help in such situations, as it will lead to the diminution of strong feelings of self – or, to use McNeill’s term, ‘boundary loss’. This is the process in which football crowds, church choirs and children in the playground are all engaging. In some cases it is by mutual consent and understanding, as, perhaps, in the case of Japanese factory employees who sing the company song before starting work. In other cases people are manipulated, as by the chanting at Nazi rallies.
那些一起制作音乐的人会将自己的思想和身体塑造成一种共同的情感状态，随之而来的是 自我认同感的丧失和随之而来的与他人合作的能力的增加。事实上，“合作”并不完全是 正确，因为随着身份的合并，没有“其他人”可以合作，只有一个群体做出决定 如何表现。
Those who make music together will mould their own minds and bodies into a shared emotional state, and with that will come a loss of self-identity and a concomitant increase in the ability to cooperate with others. In fact, ‘cooperate’ is not quite correct, because as identities are merged there is no ‘other’ with whom to cooperate, just one group making decisions about how to behave.
事实上，当心理学家检查了将人们置于囚徒困境类型的实验结果时 的情况下，他们得出结论，合作是通过“玩家将自己视为一个集体的程度”来促进的 或联合单位，感受到一种“我们”的感觉，在相同的情况下一起面对相同的问题”。10
Indeed, when psychologists have examined the results of experiments in which people are placed in prisoner’s dilemma-type situations, they have concluded that cooperation is fostered by the ‘extent to which players come to see themselves as a collective or joint unit, to feel a sense of “we-ness”, of being together in the same situation facing the same problems’.10
“我们性”在心理学家中更正式地称为“群体内偏见效应”，这构成了 最近在著名期刊《行为与脑科学》上关于人类合作本质的讨论：该出版物允许来自许多学科的学者在其主要文章之后发表评论。琳达·卡波雷尔， 一位心理学教授和她的同事提出，他们关于人们相互合作意愿的实验证据与人们总是试图的观点不相容 以最大化自己的自身利益。11 他们正确地将此描述为那些从进化论角度考虑人类的学者的普遍看法 并深受“自私基因”概念的影响。虽然没有明确说明，但有一个明显的 Caporael 和她的同事试图破坏进化论者的人性观。
The ‘we-ness’ is more formally known among psychologists as an ‘in-group biasing effect’, and this formed the centre of a recent discussion about the nature of human cooperation in the eminent journal Behavioral and Brain Sciences: This publication allows academics from many disciplines to contribute comments following its lead articles. Linda Caporael, a professor of psychology, and her colleagues had proposed that their experimental evidence about the willingness of people to cooperate with each other was incompatible with the view that people always attempt to maximize their own self-interest.11 They correctly characterized this as the prevailing belief of those academics who consider humans from an evolutionary perspective and have become heavily influenced by the notion of ‘selfish genes’. Although not explicitly stated, there was an evident attempt by Caporael and her colleagues to undermine the evolutionists’ view of human nature.
他们认为，群体行为不仅仅是个人为最大化自身回报而行动的总和，而是“中介的 通过根据共享类别成员身份或社会身份重新定义自我”。这得到了 许多评论家，尽管大多数进化论者认为这与他们自己对人类行为的看法非常一致 作为自然选择的产物。一些贡献者指出了确定支持 小组成员资格的发展和维护，并观察到我们应该“留意”提示的线索 群体感。倾听，而不仅仅是看，也会很有用，因为一起制作音乐是 创建群体身份。
They argued that group behaviour is not merely the sum of individuals acting to maximize their own returns but is ‘mediated by a redefinition of self in terms of shared category membership or social identity’. This received considerable support from many commentators, although most of the evolutionists argued that this is quite compatible with their own view of human behaviour as a product of natural selection. Several of the contributors noted the importance of identifying the mechanisms that support the development and maintenance of group membership, and observed that we should be ‘on the look-out’ for cues that prompt group feeling. Listening, rather than just looking, will also be useful, because making music together is the key method for the creation of group identity.
爵士音乐家、认知科学家和作家威廉·本松 （William Benzon） 就是这一观点的支持者，他在 2001 年出版的《贝多芬的铁砧》一书中用了大量篇幅来阐述这一命题：“音乐是一种媒介，通过它，各个大脑在共享活动中耦合在一起。12 这段回忆是麦克尼尔使用“边界损失”一词来解释他所感受到的群体团结感 与其他新兵一起长时间有节奏地进行，他将其概括为集体音乐制作的结果。 Benzon 还借鉴了他自己演奏音乐的一些经验，他将其描述为音乐家在创作中的分享 共同的声音，而不是相互发送音乐信息。他简单地解释说，“我们是一对的”。
A proponent of this is the jazz musician, cognitive scientist and writer William Benzon, who devoted much of his 2001 book, Beethoven’s Anvil, to the proposition: ‘Music is a medium through which individual brains are coupled together in shared activity.’12 This recall’s McNeill’s use of the term ‘boundary loss’ in explaining the feeling of group unity that he felt arose from long periods of rhythmic marching with other army recruits, and which he generalized into a consequence of group music-making. Benzon also draws on some of his own experiences of playing music, which he describes as musicians sharing in the creation of common sounds, rather than sending musical messages to each other. He explains this by stating simply, ‘we were coupled’.
对于 Benzon 来说，当人们同步他们发出的声音和动作，进入类似的情绪状态时，就会出现“耦合”， 从而使他们的神经状态相互协调。我们大多数人在与他人一起唱歌时都有实际的经验，并且 不再能够将我们自己的声音与其他所有声音区分开来。
For Benzon, ‘coupling’ arises when people synchronize the sounds and movements they make, enter similar emotional states, and hence attune their nervous states to one another. Most of us have actual experience of this when we sing with others and are no longer able to distinguish our own voice from all the rest.
神经生物学家沃尔特·弗里曼 （Walter Freeman） 同样强烈支持音乐制作作为社会纽带手段的作用，并且 他带来了他的大脑化学知识。13 他建议，在集体音乐创作过程中，催产素可以释放到基底前脑中，并且通过 放松了持有先验知识的突触连接，这“为获得新的理解扫清了道路” 通过与他人分享的行为行为”。14 弗里曼将音乐描述为“群体形成的生物技术”。
The neurobiologist Walter Freeman is an equally strong proponent of music-making’s role as a means of social bonding, and he brings to this his knowledge of brain chemistry.13 He has suggested that during group music-making the hormone oxytocin may be released into the basal forebrain and that, by loosening the synaptic connections in which prior knowledge is held, this ‘clears the path for the acquisition of new understanding through behavioural actions that are shared with others’.14 Freeman describes music as the ‘biotechnology of group formation’.
据我所知，这个假设还没有得到充分的检验。然而，动物实验表明，抑制 的催产素抑制了社会纽带的发展。例如，当对雌性草原田鼠进行尝试时， 他们继续与性伴侣交配，但未能发展出正常的依恋模式。15 因此，我们可以很容易地想象到，大量的催产素会起到相反的作用，而集体音乐的制作确实可能有助于 化学物质释放到大脑中。
As far as I know, this hypothesis has not been fully tested. Animal experiments have, however, demonstrated that the suppression of oxytocin in the brain inhibits the development of social bonds. When this was tried with female prairie voles, for instance, they continued to mate with their sexual partners but failed to develop the normal patterns of attachment.15 So one can readily imagine that a surfeit of oxytocin would do the opposite, and that group music-making may indeed facilitate the release of the chemical into the brain.
催产素的具体作用，如果有的话，不需要拘留我们;音乐为我们创造了一种社会性的，而不仅仅是 个人身份是我们许多人亲身经历过的身份。这可能是我们羡慕的。约翰之后 布莱金在 1950 年代研究文达人的经历，他反思了在文达社会长大的经历 与他自己在公立学校的岁月相比：“当我看到年轻的文达发展他们的身体、他们的友谊和 他们对公共舞蹈的敏感性，我不禁后悔我在橄榄球场上浪费了数百个下午 和拳击台。但后来我被教育不是为了合作，而是为了竞争。甚至音乐也更多地作为竞争性提供 而不是共享的经历。16
The specific role of oxytocin, if any, need not detain us; the fact that music creates for us a social rather than a merely individual identity is one that many of us have personally experienced. And it is something that we might envy. After John Blacking’s experiences studying the Venda people during the 1950s, he reflected on the experience of growing up in Venda society as compared with his own years in public school: ‘When I watched young Venda developing their bodies, their friendships, and their sensitivity in communal dancing, I could not help regretting the hundreds of afternoons I had wasted on the rugby field and in boxing rings. But then I was brought up not to cooperate, but to compete. Even music was offered more as a competitive than a shared experience.’16
350， 000 年前的阿塔普埃尔卡
At Atapuerca 350, 000 years ago
联合音乐制作可以建立社会纽带和群体身份，这是我开始这项工作的“常识性”理解 章。我们现在可以理解为什么会这样，以及为什么它对我们最早的祖先 南方古猿和第一代人，生活在庞大而复杂的社会群体中，其中对食物和配偶有很大的竞争。为了茁壮成长， 与他人的合作与成功的竞争一样重要。我们的原始人祖先面临着囚徒困境 情况;社交生活艰难而繁重，而且经常有被当作傻瓜的风险。此外， 原始人缺乏语言和物质符号的线索，无法帮助他们解决关于信任谁的社会困境。 谁来利用。
That joint music-making forges social bonds and group identity is the ‘common-sense’ understanding with which I began this chapter. We can now understand why this is the case, and why it would have been so important for our earliest ancestors, the australopithecines and first Homo, living in large, complex social groups within which there was a great deal of competition for food and mates. To thrive, cooperation with others was as essential as successful competition. Our hominid ancestors were faced with prisoner’s dilemma-like situations; social life was difficult and taxing, and there was a constant risk of being taken for a sucker. Moreover, the hominids lacked both the cues of language and material symbols to help resolve their social dilemmas over whom to trust and whom to exploit.
原始人会经常而细致地检查其他成员可能的意图、信仰、愿望和感受 在决定是否与他们合作之前。但在其他情况下，仅仅信任他们会更重要 有效，尤其是在需要快速决策的情况下。因此，那些压制自己自我认同的个体 相反，通过共享的 “嗯嗯 ”发声和动作来塑造一个群体身份，具有高度的情感和音乐内容，本来会繁荣。
Hominids would have frequently and meticulously examined the likely intentions, beliefs, desires and feelings of other members of a group before deciding whether to cooperate with them. But on other occasions simply trusting them would have been more effective, especially if quick decisions were necessary. As a consequence, those individuals who suppressed their own self-identity and instead forged a group identity by shared ‘Hmmmmm’ vocalizations and movements, with high emotional and hence musical content, would have prospered.
联合音乐制作通过宣传一个人的合作意愿和创造 导致 “边界丧失” / “我们性” / “耦合” / “群体内偏见” 的共享情绪状态。随着 Homo ergaster 和完全双足行走的进化，“Hmmmmm”获得了额外的音乐品质，同时出现了对其进化的进一步选择压力 从传递有关自然世界的信息的需要，到争夺配偶和照顾婴儿。作为早期人类 在北纬地区殖民，发展大型狩猎，并应对更新世的巨大环境变化， 合作的需求越来越大。因此，公共的 “嗯嗯 ”音乐制作在早期人类中会变得普遍 社会。
Joint music-making served to facilitate cooperative behaviour by advertising one’s willingness to cooperate, and by creating shared emotional states leading to ‘boundary loss’/’we-ness’/’coupling’/’in-group bias’. With the evolution of Homo ergaster and full bipedalism, ‘Hmmmmm’ gained additional musical qualities, while further selective pressures for its evolution arose from the need to transmit information about the natural world, to compete for mates and to care for infants. As Early Humans colonized northern latitudes, developed big-game hunting, and coped with the dramatic environmental changes of the Pleistocene, the need for cooperation became ever greater. Hence communal ‘Hmmmmm’ music-making would have become pervasive in Early Human society.
为了完成本章，我们可以考虑一个可能发生这种情况的地点——西班牙北部的阿塔普尔卡，海拔 350 年， 000 年前。17 这是一座石灰岩山丘，到处都是洞穴、隧道和裂缝，考古学家称之为 Sima de los Huesos – 骨洞。这是一个合适的标题，因为它充满了可追溯到至少 300， 000 年的人骨 ago 并归因于 Homo heidelbergensis。我真的是说打包的：自 1976 年发现第一批样本以来，已经发现了 2000 多个样本 将小区域挖掘到较浅的深度。这些骨头代表至少 32 个个体，可能是 只是坑里的一小部分。
To complete this chapter, we can consider one location where this would have occurred – Atapuerca in northern Spain at 350, 000 years ago.17 This is a limestone hill riddled with caves, tunnels and crevasses, one of which is known to archaeologists as the Sima de los Huesos – the cave of bones. It is a fitting title because it is packed with human bones dating to at least 300, 000 years ago and attributed to Homo heidelbergensis. I really do mean packed: since the first samples were discovered in 1976, more than two thousand have been recovered by the excavation of a small area to only a shallow depth. These bones represent at least thirty-two individuals, which may be just a fraction of those present within the pit.
没有迹象表明这个坑是食肉动物的巢穴，人骨只是动物最喜欢的反映 食物。洞穴熊肯定出现在骨头中，但这些似乎来自意外坠落的动物 他们死了，因为这个坑位于一个近 46 英尺深的垂直竖井的底部。这个解释不能 由于数量众多，因此应用于人类骨骼。鉴于它们保存完好，这不太可能 他们是从其他地方的沉积物流中冲入坑中的。骨架的所有骨骼都是 代表，包括一些;最小和最脆弱的，表明完整的尸体被故意放入 坑。胡安·路易斯·阿苏阿加 （Juan Luis Arsuaga） 是阿塔普尔卡 （Atapuerca） 发掘的三位主任之一，他将 Sima de los Huesos 描述为 人类丧葬行为的第一个证据。
There is no indication that the pit was a carnivore den and that the human bones are merely a reflection of an animal’s favoured food. Cave bears are certainly represented among the bones, but these appear to be from animals that had accidentally fallen to their deaths, since the pit is at the bottom of a vertical shaft almost forty-six feet deep. This explanation cannot be applied to the human bones owing to their great numbers. And in view of their excellent preservation, it is most unlikely that they had been washed into the pit within sediment flows from elsewhere. The fact that all the bones of the skeleton are represented, including some; of the smallest and most fragile, suggests that complete bodies were deliberately dropped into the pit. Juan Luis Arsuaga, one of the three directors of the Atapuerca excavations, describes the Sima de los Huesos as the first evidence for human funerary behaviour.
一个关键问题是尸体的集合是如何积累的。这是零散的，每年一两个成员 的 Homo heidelbergensis 群体死亡，还是大量的尸体反映了某种灾难性事件？回答这个问题的一种方式是从时代开始的 尸体的分布。Arsuaga 和他的同事已经能够确定他们已经确定的许多个体的死亡年龄，或者至少将他们归入一个年龄组。只有 32 人中的一个 个人是一个孩子，在四五岁时就夭折了。儿童在其他方面缺席的事实是否重要 或没有很难评估——尽管儿童的骨骼特别脆弱，但在 Sima de los Huesos 中保存下来是 优秀和更多的孩子骨骼可能是可以预期的。
A key question is how the collection of bodies accumulated. Was this in a piecemeal fashion, one or two each year as members of the Homo heidelbergensis group died, or does the large number of bodies reflect some catastrophic event? One means of answering this is from the age distribution of the bodies. Arsuaga and his colleagues have been able to ascertain the age of death for many of the individuals they have identified, or at least to place them into an age group. Only one of the thirty-two individuals was a child, who died at the age of four or five. Whether the fact that children are otherwise absent is significant or not is difficult to assess – although children’s bones are especially fragile, preservation in the Sima de los Huesos is excellent and more bones of children might have been expected.
图 13来自阿塔普埃尔卡 Sima de 10s Huesos 的海德堡人个体的近乎完整的头骨，可追溯到大约 350,000 年前。
Figure 13 Near-complete skull of a Homo heidelbergensis individual from the Sima de 10s Huesos at Atapuerca, dating to around 350,000 years ago.
其中绝大多数是年轻人——任何社区中最健康、最强壮的成员。这些可能具有 经过多代缓慢积累;当有人在 Atapuerca 附近死亡时，他们的尸体可能是故意的 沉积在裂缝内。但是由于它们的保存状态、密度和频繁的 骨骼关节，Arsuaga 和他的同事认为 Sima de los Huesos 人类更有可能一起死亡 或者在彼此相距很短的时间内。18
The large majority of those represented are young adults – the fittest and strongest members of any community. These may have accumulated slowly over many generations; when someone died in the vicinity of Atapuerca, their body may have been deliberately deposited within the crevasse. But because of the similarity in their state of preservation, their density and the frequent bone articulations, Arsuaga and his colleagues think it much more likely that the Sima de los Huesos humans died either together or within a very short time of each other.18
一种可能性是社区被疾病击垮，这种流行病就像中世纪欧洲的瘟疫一样。但 这种流行病通常需要大量人口生活在不卫生的环境中，而这本身似乎不太可能 对于当时生活在西班牙北部的早期人类狩猎采集者。此外，这种流行病往往主要打击 非常年轻和非常年长的人，恰恰是 Sima de los Huesos 中没有的年龄组。
One possibility is that the community was stricken down with disease, an epidemic like the plagues of medieval Europe. But such epidemics usually require large and dense populations living in unhygienic conditions, and this seems inherently unlikely for Early Human hunter-gatherers living in northern Spain at this date. Also, such epidemics tend to strike down predominantly the very young and the very old, precisely the age groups absent from Sima de los Huesos.
作为替代方案，Arsuaga 认为生活在 Atapuerca 地区的人口可能受到了生态 灾难，例如持续的干旱或严冬，导致饥荒。19 年轻人和老年人可能已经死亡，而这群人中幸存的成员，即年轻人，则在附近避难 Atapuerca 山。随着生态危机的持续，这 32 具尸体可能是在一年或几年内积累起来的。
As an alternative, Arsuaga suggests that the population living in the region of Atapuerca might have been hit by an ecological catastrophe, such as persistent drought or harsh winters, leading to famine.19 The young and old might have died, while the surviving members of the group(s), the young adults, took refuge in the vicinity of the Atapuerca hill. The thirty-two bodies may have accumulated over one or a few years as the ecological crisis persisted.
这些想法只不过是猜测——我的贡献是增加进一步的猜测，但这些猜测是有根据的 在本书中提供的理论和数据中。很简单，当那些尸体被扔进去时 裂缝，要么一起，要么一个接一个地在几年内，公共歌唱和跳舞的声音 在洞穴中回荡。
Such ideas are no more than speculation – and my contribution is to add further speculation, but speculation that is grounded in the theories and data that have been provided throughout this book. It is simply that as those bodies were thrown into the crevasse, either all together or one by one over a number of years, the sounds of communal singing and dancing would have echoed around the cave.
这些尸体的沉积对幸存者来说将是一个非常情绪化的事件。事实上，他们几乎不会 需要歌舞来创造一种共同的情感状态，因为他们都知道死者并且会理解 失去社区的年轻人对他们自身生存的后果。这本来是整合的时候 并确认社会纽带，并承诺未来的合作。公共的 “嗯嗯 ”唱歌跳舞 实现了这一点：声音和动作表达;悲伤和促进哭泣的个人的“边界丧失” 350， 000 几年前在 Atapuerca 的洞穴中。
The deposition of such bodies would have been an intensely emotional event for the survivors. Indeed, they would hardly have needed song and dance to create a shared emotional state, as they would all have known the dead and would have understood the consequences for their own survival of losing the young adults of their community. It would have been a time to consolidate and confirm social bonds, and to make a commitment to future cooperation. Communal ‘Hmmmmm’ singing and dancing would have achieved this: sound and movement expressing; grief and facilitating ‘boundary loss’ among the individuals who wept 350, 000 years ago in the cave at Atapuerca.
15 恋爱中的尼安德特人
15 Neanderthals in love
Homo neanderthalensis 的 'hmmmmm' 交流
‘Hmmmmm’ communication by Homo neanderthalensis
巴勃罗·卡萨尔斯 （Pablo Casals） 演奏的曼努埃尔·德·法雅 （Manuel de Falla） 的西班牙民歌《娜娜》（Nana）：尼安德特人 （Homo neanderthalis） 在 Amud 洞穴中埋葬婴儿
The Spanish folk song ‘Nana’ by Manuel de Falla played by Pablo Casals: Homo neanderthalensis burying a baby in Amud Cave
大多数人类学家都试图将 Homo neonderthalensis 的大大脑等同于语言能力。这并非没有道理：所有这些代谢昂贵的灰质还能有什么 当大脑较小的 Homo ergaster 和 Homo heidelbergensis 已经展示了工具制造、生活在复杂的社会群体中和适应不断变化的环境等技能时，它被用于？ 但必须抵制这种诱惑;居住在欧洲和西南亚的尼安德特人的大脑与那些 现代人的行为方式却截然不同，这表明没有语言——我会这么说 在下面证明。那么，尼安德特人用这么大的大脑做什么呢？
Most anthropologists are tempted to equate the large brain of Homo neonderthalensis with a capacity for language. This is not unreasonable: what else could all that metabolically expensive grey matter have been used for, when the smaller-brained Homo ergaster and Homo heidelbergensis had already demonstrated such skills as tool-making, living in complex social groups and adapting to ever-changing environments? But the temptation must be resisted; the Neanderthals who inhabited Europe and south-west Asia had brains as large as those of modern humans but behaved in a quite different fashion, one that indicates the absence of language – an assertion I will justify below. So, what were the Neanderthals doing with such large brains?
这本书一直在提供答案：尼安德特人用他们的大脑建立了一个复杂的通信系统，该系统 在字符上是 Holistic、manipulative、multi-m odal、musical 和 mimetic：'Hmmmmm'。虽然他们的直系祖先和亲戚，例如 Homo ergaster 和 Homo heidelbergensis 也是如此，但尼安德特人将这种交流系统发挥到了极致，它是 通信他们使用了一种高级形式的 'Hmmmmm' ，事实证明非常成功： 它使它们能够在冰河时代欧洲的剧烈环境变化中存活了四分之一百万年，并且 达到前所未有的文化成就水平。他们“唱尼安德特人”——尽管他们的歌声中没有任何 话语——也是极度情绪化的存在：快乐的尼安德特人、悲伤的尼安德特人、愤怒的尼安德特人、厌恶的尼安德特人、 嫉妒的尼安德特人、有罪的尼安德特人、悲痛欲绝的尼安德特人和相爱的尼安德特人。这种情绪是存在的 因为他们的生活方式需要明智的决策和广泛的社会合作。所以现在是看看的时候了 尼安德特人本身，并获得对他们的行为和社会的新视角。
This book has been providing the answer: the Neanderthals used their brains for a sophisticated communication system that was Holistic, manipulative, multi-modal, musical, and mimetic in character: ‘Hmmmmm’. While this was also the case for their immediate ancestors and relatives, such as Homo ergaster and Homo heidelbergensis, the Neanderthals took this communication system to an extreme, it being a product of the selective pressures for enhanced communication discussed in the previous chapters. They utilized an advanced form of ‘Hmmmmm’ that proved remarkably successful: it allowed them to survive for a quarter of a million years through dramatic environmental change in ice-age Europe, and to attain an unprecedented level of cultural achievement. They were ‘singing Neanderthals’ – although their songs lacked any words – and were also intensely emotional beings: happy Neanderthals, sad Neanderthals, angry Neanderthals, disgusted Neanderthals, envious Neanderthals, guilty Neanderthals, grief-stricken Neanderthals, and Neanderthals in love. Such emotions were present because their lifestyle required intelligent decisionmaking and extensive social cooperation. So now is the time to look at the Neanderthals themselves and to gain a new perspective on their behaviour and society.
The evolution of the Neanderthals
尼安德特人在 250， 000 年前在欧洲进化，并在冰河时代的后期幸存下来，然后灭绝 不久之后，30， 000 年前。1 遗传证据表明，我们的物种，即智人，在 300， 000 到 500， 000 年前的某个时候与尼安德特人共享一个祖先，然后完全独立地进化 在非洲。智人在 40， 000 年前传播到欧洲，可能在尼安德特人灭绝中发挥了因果作用。的身份 共同的祖先是不确定的，因为 100 万到 250， 000 年前的化石记录特别困难 来解释。阿拉伯数字
Homo neanderthalensis had evolved in Europe by 250, 000 years ago and survived throughout the latter part of the ice ages before becoming extinct soon after 30, 000 years ago.1 Genetic evidence indicates that our species, Homo sapiens, shared an ancestor with the Neanderthals somewhere between 300, 000 and 500, 000 years ago, and then evolved quite separately in Africa. Homo sapiens spread into Europe at 40, 000 years ago and may have played a causal role in the Neanderthal extinction. The identity of the shared ancestor is uncertain because the fossil record between 1 million and 250, 000 years ago is particularly difficult to interpret.2
Homo heidelbergensis 是 Homo ergaster 的后代，是最受青睐的候选人。但一些人类学家认为这个“物种”只不过是一个包罗万象的术语 各种零碎的化石标本，其作为一个群体的身份和完整性值得怀疑。一个恰当的例子是该系列 来自被称为 TD6 的地点的标本。与 Sima de los Huesos 一样，该遗址位于西班牙的 Atapuerca，但它的历史可以追溯到 800， 000 年前及其 Homo 化石是欧洲已知最早的化石。3 挖掘者使用这些标本来定义了一个未知的物种，即 Homo antecessor，他们声称它不仅是第一个殖民欧洲的原始人物种，也是现代人类的共同祖先 “还有尼安德特人。但很少有人类学家接受他们的解释;倾向于将标本归类为 Homo heidelbergensis。
Homo heidelbergensis, a descendant of Homo ergaster, is the most favoured candidate. But some anthropologists consider this ‘species’ to be no more than a catch-all term for various fragmentary fossil specimens whose identity and integrity as a group is questionable. A case in point is the collection of specimens from the site known as TD6. Like the Sima de los Huesos, this site is at Atapuerca in Spain, but it dates to 800, 000 years ago and its Homo fossils are the earliest known from Europe.3 The excavators have used these specimens to define an otherwise unknownspecies, Homo antecessor, which they claim was not only the first hominid species to colonize Europe but also the common ancestor to modern humans ‘and the Neanderthals. But few anthropologists accept their interpretation; preferring to classify the specimens as Homo heidelbergensis.
剑桥人类学家罗伯特·弗利 （Robert Foley） 和玛尔塔·拉尔 （Marta Lahr） 为尼安德特人的进化提供了另一种观点。他们建议 尼安德特人和现代人的共同祖先是从非洲的 Homo heidelbergensis 进化而来的物种，他们称之为 Homo helmet4。因为尼安德特人和最早的现代人类的石器技术惊人地相似——两者都使用 Levallois 技术，将在下面描述 – Foley 和 Lahr 认为这一定是由一个常见的 祖先，因为独立发明的机会很小。因为这项技术直到 300， 000 年后才出现 以前，那是两个谱系分离的最早可能日期。在这种情况下，一个 Homo helmei 群体分散到欧洲，在那里他们进化成 Homo neanderthalensis，而另一个人群留在非洲，在那里他们进化成现代人。
The Cambridge anthropologists Robert Foley and Marta Lahr provide an alternative view for Neanderthal evolution. They suggest that the common ancestor to the Neanderthals and modern humans is a species that evolved from Homo heidelbergensis in Africa and which they call Homo helmet4. Because the stone-tool technology of the Neanderthals and of the earliest modern humans is strikingly similar – both using the Levallois technique, which will be described below – Foley and Lahr argue that this must have been invented by a common ancestor, as the chances of independent invention are minimal. As this technology does not appear until after 300, 000 years ago, that is the earliest possible date for the separation of the two lineages. In this scenario, a population of Homo helmei dispersed into Europe where they evolved into Homo neanderthalensis, while another population remained in Africa where they evolved into modern humans.
但谁知道呢？在 100， 000 年前之前，化石记录是如此稀少，以至于可以提出几种进化情景。 我们唯一可以确信的是 （1） 尼安德特人和现代人在 300， 000 之间有一个共同的祖先 和 500， 000 年前;（2） 尼安德特人在欧洲进化，现代人在非洲进化;（3） 现代人类从非洲散开，殖民全世界，而尼安德特人在 30， 000 年后不久就灭绝了 前。
But who knows? The fossil record is so sparse before 100, 000 years ago that several evolutionary scenarios can be proposed. All that we can be confident about is that (1) the Neanderthals and modern humans shared a common ancestor between 300, 000 and 500, 000 years ago; (2) the Neanderthals evolved in Europe and modern humans evolved in Africa; (3) modern humans dispersed out of Africa to colonize the whole world, while the Neanderthals became extinct soon after 30, 000 years ago.
尼安德特人的大脑、身体和生活方式
The Neanderthal brain, body and lifestyle
现代人的大脑大小在 1200 到 1700 立方厘米之间，平均约为 1350 立方厘米。5 160 万年前，Nariokotome 男孩 （Homo ergaster） 的死亡率约为 880 立方厘米，如果这个男孩幸存下来，将达到 909 立方厘米 成为成年人。到 100 万年前，平均大脑大小仅扩大到约 1000 立方厘米，反映了 一个进化稳定的时期，似乎又持续了五十万年。第一批欧洲人标本来自阿塔普尔卡的 TD6，太零碎了，无法估计大脑大小，但两个保存完好的海德堡人标本来自 Sima de los Huesos，可追溯到大约 300， 000 年前，大脑大小分别为 1225 和 1390 立方厘米。 尼安德特人的大脑更大，女性平均为 1300 立方厘米，男性平均为 1600 立方厘米。
Modern humans have brain sizes of between 1200 and 1700 cubic centimetres, with an average of around 1350 cubic centimetres.5 That of the Nariokotome boy (Homo ergaster), 1.6 million years ago, was around 880 cubic centimetres, and would have reached 909 cubic centimetres had the boy survived to become an adult. By 1 million years ago, average brain size had only enlarged to about 1000 cubic centimetres, reflecting a period of evolutionary stability that appears to have continued for another half-million years. The first European Homo specimens, from TD6 at Atapuerca, are too fragmentary to allow an estimation of brain size, but two well-preserved Homo heidelbergensis specimens from the Sima de los Huesos dated to around 300, 000 years ago, have brain sizes of 1225 and 1390 cubic centimetres. Neanderthal brains were larger still, with a female average of 1300 and a male average of 1600 cubic centimetres.
只有当与体型进行比较时，大脑大小的测量才有意义;体型较大的动物体型 大脑，无论智力是否有任何变化。因此，人类学家通过使用数学 一组密切相关的物种的脑重与总体体重之间的关系，然后评估程度 任何特定动物的大脑都超过了仅从其体型所预期的。例如，如果 我们将哺乳动物作为一个整体来看待，然后来自 Sima de los Huesos 的 Homo heidelbergensis 标本的大脑比我们预期的它们的体型大 3.1 到 3.9 倍。 这个数字称为它们的封装商，或 EQ。智人的死亡率为 5.3，是所有已知物种中最大的，无论是现存的还是已灭绝的。6
Measurements of brain size only become meaningful when they are compared to body size; animals with bigger bodies have bigger brains irrespective of any changes in intelligence. Consequently, anthropologists compare brain sizes by using a mathematical relationship between brain weight and overall body weight for a closely related set of species, and then assess the extent to which the brain of any particular animal exceeds what would have been expected from its body size alone. If, for instance, we were to take mammals as a whole, then the Homo heidelbergensis specimens from the Sima de los Huesos have brains between 3.1 and 3.9 times larger than we would expect from their body size. This figure is called their encaphalization quotient, or EQ. That of Homo sapiens is 5.3, the largest of any known species, living or extinct.6
虽然已知最大的脑容量属于来自 Amud Cave 的尼安德特人——1750 立方厘米——但尼安德特人 比智人体重大，源于更厚的骨骼和更多的肌肉。因此，他们的 EQ 较小：4.8。与 5.3 的差异可能不是 转化为认知能力的差异，我们必须认识到大脑大小存在很大差异 在 Homo sapiens 和 Homo neanderthalensis 中。（心理学家一直无法找到现代人类大脑大小和智力之间的任何相关性，因此 在我们的物种中，人们假设在任何物种中，更大的大脑不会让你变得更聪明。虽然低于 在智人中，尼安德特人 EQ 令人印象深刻。他们的大大脑代谢昂贵，只能在强大的选择压力下进化。 如上所述，正如本章将进一步论证的那样，主要的选择压力是加强沟通。
Although the biggest known brain capacity belongs to a Neanderthal from Amud Cave – 1750 cubic centimetres – the Neanderthals had a larger body mass than Homo sapiens, arising from thicker bones and more muscle. In consequence, they have a smaller EQ: 4.8. The difference from 5.3 may not translate into a difference in cognitive abilities, and we must appreciate that there is a great deal of brain size variation within both Homo sapiens and Homo neanderthalensis. (Psychologists have been unable to find any correlation between brain size and intelligence among modern humans, and so within our species, and one assumes within any species, a bigger brain does not make you any smarter.) Although below that of Homo sapiens, the Homo neanderthalensis EQ is impressive. Their large brains were metabolically expensive and could only have evolved under strong selective pressures. As explained above, and as will be further argued in this chapter, the principal selective pressure was that for enhanced communication.
图 14尼安德特人的头骨，Amud I 标本，可追溯到大约 45,000 年前。
Figure 14 Skull of Homo neanderthalensis, the Amud I specimen, dating to around 45,000 years ago.
尼安德特人有一套独特的身体特征，这些特征在 125， 000 年前之后变得尤为明显。 这些包括与现代人相比，手臂和腿相对较短的粗壮身体。尼安德特人有巨大的桶状 胸部并携带大量肌肉，从他们骨骼上的肌肉疤痕中可以明显看出。他们有个大而突出的鼻子， 脸颊向后扫，下颌骨基部缺乏构成人类下巴的骨质突起。总的来说，这些 解剖学特征与我们生活在寒冷环境中的现代人相似：它们代表生理 最大限度地减少身体热量损失的调整。7
The Neanderthals have a suite of distinctive physical features which become particularly marked after 125, 000 years ago. These include a stout body with relatively short arms and legs compared with modern humans. The Neanderthals had large, barrel-like chests and carried substantial muscle, as is evident from the muscle scars on their bones. They had large, projecting noses, swept-back cheeks, and lacked the bony protuberance on the base of the mandible that forms the human chin. As a whole, these anatomical features are similar to those we find among modern humans living in cold environments: they represent physiological adaptations for minimizing heat loss from the body.7
正如我们从尼安德特人的骨骼遗骸中对他们的身体了解很多一样，考古学家也获得了许多见解 从洞穴和露天占领地留下的碎片中了解尼安德特人的生活方式。8 像他们的祖先一样，尼安德特人也是猎人，主要捕食冰河时代欧洲的大型哺乳动物。清除可能具有 被雇用，只要有机会，植物采集就可能很重要。我们知道尼安德特人 控制火势，来自他们洞穴内厚厚的灰烬沉积物和偶尔的壁炉，尽管没有石头建造的壁炉 是已知的。
Just as we know a great deal about the Neanderthal body from their skeletal remains, archaeologists have gained many insights into Neanderthal lifestyles from the debris left behind in caves and open-air occupation sites.8 Like their forebears, the Neanderthals were hunters, focusing on the large mammals of ice-age Europe. Scavenging may have been employed, and plant gathering is likely to have been important whenever the opportunity arose. We know that the Neanderthals controlled fire, from thick deposits of ash and occasional hearths within their caves, although no stone-built fireplaces are known.
洞穴沉积物通常包含密集的废弃石制品和碎片动物骨骼，这表明 激烈的占领。洞穴本来可以提供宝贵的庇护所，尤其是在冰河时代的冬天;我们没有证据表明尼安德特人曾经建造过任何类型的小屋。它们也可能是 社交生活。尼安德特人似乎生活在相对较小的亲密社区中，没有显着差异 来自他们祖先的那些。与 40， 000 年前跟随他们进入欧洲的现代人类相反，那里 没有社会分化的迹象，专门的经济角色，大量人口聚集的地方，贸易 关系，或异地交换礼物。9 就像 Homo ergaster 一样，尼安德特人很可能对生活史、社会关系和今天的生活有详细的了解 他们团队所有其他成员的活动，很少与“陌生人”接触。
The cave deposits frequently contain dense accumulations of discarded stone artefacts and fragmented animal bones, suggesting intense occupation. Caves would have provided valuable shelter, especially during the ice-age winters; we have no evidence that the Neanderthals ever constructed huts of any kind. They would also have been key loci for social life. It seems likely that the Neanderthals lived in relatively small, intimate communities, not significantly different from those of their ancestors. In contrast to the modern humans who followed them into Europe after 40, 000 years ago, there are no signs of social differentiation, specialized economic roles, sites where large numbers of people aggregated, trading relations, or long distance gift exchange.9 Just like Homo ergaster, it is probable that the Neanderthals had detailed knowledge about the life histories, social relationships and day-today activities of all the other members of their group, and rarely came into contact with ‘strangers’.
鉴于这种社会亲密关系，我们在石器中看到非常明显的文化传播模式也就不足为奇了 科技;每一代人似乎都几乎完全复制了上一代人使用的制造技术。 他们的技术需要相当高的技能，这不仅从他们制造手斧中可以看出，而且从 他们使用考古学家所说的 Levallois 方法，这是一种生产具有预定形状的石片的技术 和大小。
Given such social intimacy, it is not surprising that we see a very marked pattern of cultural transmission in stone-tool technology; each generation appears to have copied almost exactly the techniques of manufacture used by the previous generation. Their techniques required considerable skill, which is evident not only from their manufacture of hand-axes but also from their use of what archaeologists call the Levallois method, a technique for producing stone flakes with a predetermined shape and size.
这涉及到小心地剥落石结节以形成凸面。通过移除 从结节的一端切出微小的碎屑，然后巧妙地打击一下，就会去除一个大片状物。那就是 该技术的最基本形式;有一些变体，其中一些可以从单个核心中去除许多薄片 其中一些可以生产长而薄的刀片。10 最常用的变体之一产生了一种尖片，无需更多即可连接到矛杆上 修改。
This involved the careful flaking of a stone nodule to create a convex surface. A striking platform was prepared by removing tiny chips from one end of the nodule, then a single skilfully aimed blow would remove a single large flake. That was the most basic form of the technique; there were variants, some of which enabled numerous flakes to be removed from a single core and some of which enabled the production of long, thin blades.10 One of the most frequently used variants produced a pointed flake that could be attached to a spear shaft without further modification.
虽然长矛用于狩猎，但它们似乎需要尼安德特人靠近他们的猎物;我们从 他们的解剖结构，他们的生活对体力要求很高，而且他们经常受伤。我们对尼安德特人了解得更多 解剖学比任何其他类型的前现代人类的解剖结构都要好，这既要归功于化石的数量，也要因为化石的数量 其中保存完好。这很可能是尼安德特人埋葬死者的结果， 或者至少是他们中的一些人。这种埋葬的动机尚不清楚，但幸运的是，这些尸体被埋葬了 免受徘徊的食肉动物的伤害。
While spears were used for hunting, they appear to have required the Neanderthals to get close to their prey; we know from their anatomy that their lives were physically demanding and that they were frequently injured. We know more about Neanderthal anatomy than that of any other type of pre-modern human, owing both to the number of fossils and to the fact that several of them are excellently preserved. That is most probably a consequence of the fact that the Neanderthals buried their dead, or at least some of them. The motivation for such burials remains unclear, but a fortunate outcome is that the bodies were protected from prowling carnivores.
一具骨骼具有特别重要的意义，即 Kebara I 标本，其历史可以追溯到大约 63， 000 年前，于 1983 年出土 来自以色列的 Kebara 洞穴。11 这个埋葬的是一位成年男性，除了被 洞穴中的酸性土壤。它为我们提供了第一套完整的尼安德特人肋骨、椎骨和骨盆。头盖骨不见了，如果头部部分暴露在外，可能是食肉动物拿走的，或者可能是被切除的 事先。
One skeleton is of particular significance, the Kebara I specimen, dating to around 63, 000 years ago and excavated in 1983 from Kebara Cave in Israel.11 This burial was of an adult male whose skeleton had survived intact, apart from the leg bones which had been destroyed by acidic soils in the cave. It provided us with the first complete set of Neanderthal ribs, vertebrae and pelvis. The cranium was missing, perhaps taken by a carnivore if the head had been left partially exposed, or perhaps removed beforehand.
发声和听觉能力：尼安德特人有语言吗？
Vocal and auditory capacities: did the Neanderthals have language?
Kebara 墓葬还为人类学家提供了第一块尼安德特人舌骨——事实上，这是任何前现代人的第一块 人。舌骨附着在喉部的软骨上，并锚定说话所需的肌肉。The Kebara（萤原酒店） 舌骨在形式上实际上与现代人的舌骨相同，并已被用来论证尼安德特人的声带 在本质上也与你或我所拥有的相同。12 这肯定不是相同的，面部形态的对比可能导致类似鼻音的发声。但是，更早的 声称尼安德特人的喉部位于喉咙的高处，就像现代人类婴儿或黑猩猩的喉部一样，已经 现在被彻底解雇了。
The Kebara burial also provided anthropologists with the first Neanderthal hyoid bone – in fact, the first from any pre-modern human. The hyoid bone is attached to the cartilage in the larynx and anchors the muscles necessary for speech. The Kebara hyoid is effectively identical in form to that of a modern human, and has been used to argue that the Neanderthal vocal tract was also essentially the same as that which you or I possess.12 It was certainly not identical, and contrasts in facial morphology probably led to nasal-like vocalizations. But the earlier claim that the Neanderthal larynx was positioned high in the throat, like that of a modern human baby or a chimpanzee, has now been thoroughly dismissed.
该主张最初是由 Phillip Lieberman 和 Ed Crelin 于 1971 年根据 La Chapelle-aux-Saints Neanderthal 提出的 标本。13 多年来，它一直极具影响力，但被拒绝的不仅是因为 Kebara 的发现，还因为 La Chapelle-aux-Saints 标本现在被认为过于扭曲和不完整，无法进行可靠的重建。 因此，尽管尼安德特人的声带可能无法产生与现代人完全相同的声音范围， 如果语言的神经回路存在于 尼安德特人的大脑。
That claim was originally made by Phillip Lieberman and Ed Crelin in 1971, on the basis of the La Chapelle-aux-Saints Neanderthal specimen.13 It was highly influential for many years, but it has been rejected not only because of the Kebara find, but also because the La Chapelle-aux-Saints specimen is now recognized as having been too distorted and incomplete for a reliable reconstruction. So, although the Neanderthal vocal tract may have been unable to produce exactly the same range of sounds as a modern human, they would certainly have been sufficiently diverse to enable speech if the neural circuitry for language was present in the Neanderthal brain.
另外两个解剖学证据支持与现代人类相当的发声能力的说法。这 首先是舌下管的尺寸，它将神经从大脑输送到舌头。此 在现代人类中比在黑猩猩和大猩猩中更大，这反映了该复合体所需的神经供应更多 言语所需的运动控制。该管部分保存在头骨化石的颅骨底部。当理查德 Kay 和他的同事来自杜克大学，在各种标本上测量了它的宽度，他们发现来自南方古猿和哈比利斯的标本属于黑猩猩和大猩猩的大小范围，而来自尼安德特人的人的管道大小与现代人相当 人类。14
Two further pieces of anatomical evidence support the claim for vocal capabilities equivalent to those of modern Humans. The first is the dimensions of the hypoglossal canal, which carries the nerves from the brain to the tongue. The width of this is greater in modern humans than in chimpanzees and gorillas, reflecting the larger supply of nerves required for the complex motor control necessary for speech. The canal is partially preserved at the base of the cranium on fossil skulls. When Richard Kay and his colleagues from Duke University measured its width on a variety of specimens, they found that those from Australopithecus africanus and Homo habilis fell into the chimpanzee and gorilla size range, while those from Neanderthals had a canal size equivalent to that of modern humans.14
从化石遗骸中可测量的第二个神经承载管是胸椎管，神经通过该管 通过控制横膈膜，从而控制呼吸。罗汉普顿大学的 Anne MacLarnon 和 Gwen Hewitt 测量 这条运河的尺寸适用于各种现存的灵长类动物、现代人类以及原始人和早期人类的样本 化石。他们发现它与舌下管具有相似的进化历史：南方古猿和猿人的椎管大小与非洲猿相似，而尼安德特人的椎管更大，与智人的大小相匹配。15 MacLarnon 和 Hewitt 考虑并拒绝了与双足行走有关的尺寸增加的解释，呼吸 跑步，或避免被食物呛到。他们的结论是，通过 胸椎的出现是为了增加对说话的呼吸控制。尼安德特人的水平 现代语言所需的精细呼吸控制。
A second nerve-carrying canal measurable from fossilized remains is that of the thoracic vertebrae, through which the nerves for controlling the diaphragm, and hence breathing, pass. Anne MacLarnon and Gwen Hewitt, of Roehampton University, measured the dimensions of this canal for a wide variety of living primates, modern humans, and a sample of hominid and Early Human fossils. They found that it has had a similar evolutionary history to the hypoglossal canal: the vertebral canals of australopithecines and Homo ergaster are similar in size to those of African apes, while those from Neanderthals are larger and match the size of those from Homo sapiens.15 MacLarnon and Hewitt considered and rejected explanations for its increase in size relating to bipedalism, breathing for running, or the avoidance of choking on food. Their conclusion was that the increased number of nerves passing through the thoracic vertebrae arose in order to provide increased control of breathing for speech. The Neanderthals had the level of fine respiratory control that is required for modern speech.
来自舌下管和椎管的证据表明，尼安德特人对他们的舌头具有运动控制能力 以及类似于现代人的呼吸。对声音的感知似乎也是如此。在第 9 章中， 我描述了对早期原始人化石 Stw 151 的内耳骨骼的研究表明，它已经 对高频声音比现代人敏感。伊格纳西奥·马丁内斯 （Ignacio Martinez） 和他的同事对 Sima de los Huesos 的五个海德堡人头骨进行了类似的检查，结果表明，到 300， 000 年前，声音感知 已经等同于我们今天的自己。16 由于海德堡人很可能是尼安德特人的直接祖先，我们可以得出结论，他们也具有相似的听觉能力 到现代人类的。
The evidence from the hypoglossal and vertebral canals indicates that Neanderthals possessed motor control over their tongues and breathing similar to that of modern humans. This also appears to be the case for the perception of sound. In chapter 9, I described how a study of the bones of the inner ear from the early hominid fossil Stw 151 indicated that it had been more sensitive to higher-frequency sounds than modern humans. A similar examination of five Homo heidelbergensis skulls from the Sima de los Huesos, by Ignacio Martinez and his colleagues, showed that by 300, 000 years ago sound perception had become equivalent to our own today.16 As Homo heidelbergensis was most probably a direct ancestor of the Neanderthals, we can conclude that they, too, had a similar auditory capacity to that of modern humans.
与早期与声音交流相关的解剖学发展（例如下降喉）不同，尼安德特人的增强 对舌头和呼吸的运动控制，以及他们的听觉能力与现代人相匹配，是最好的解释 被 Evolution 特别选为发声交流。
Unlike earlier anatomical developments relating to vocal communication, such as the descended larynx, the Neanderthals’ enhanced motor control over the tongue and breathing, and their auditory capacity matching that of modern humans, are best explained as having been specifically selected by evolution for vocal communication.
这是否像进行上述研究的人所假设的那样意味着语言？这确实是一个方便的解释 以表彰尼安德特人的文化成就。我们绝不能忘记，他们存活了超过 20 万年 年，经历过重大气候变化时期。17 要做到这一点，他们需要在狩猎和采集方面进行广泛的合作，而这反过来又需要 小心翼翼地培养和维护社会关系。这种关系对于维持 他们的技术传统。很少有现代燧石工可以复制尼安德特人用来制作他们的 工具，这些技能已经准确、一致地代代相传。这似乎很不寻常 他们在不使用口语的情况下，也能在狩猎、社交和工具制作方面取得如此成就。事实上 也许这太不寻常了，令人难以置信。
Does this imply language, as those undertaking the above studies have assumed? That would, indeed, be a convenient explanation for the cultural achievements of the Neanderthals. We must never forget that they survived for more than two hundred thousand years, living through periods of major climatic change.17 To do so, they would have required extensive cooperation in hunting and gathering, which would in turn have required the careful fostering and maintenance of social relationships. Such relationships would also have been important in sustaining their technological traditions. Few modern flint-knappers can replicate the techniques used by the Neanderthals to make their tools, skills that had been accurately and consistently transmitted from generation to generation. It might seem extraordinary that they could have been so accomplished in hunting, socializing and tool-making without the use of spoken language. Indeed, perhaps this is too extraordinary to believe.
虽然语言的进化可以方便地解释尼安德特人的巨大大脑、声带、听觉能力以及对舌头和呼吸的运动控制，但仍然存在 压倒性的证据表明，语言尚未在 Homo 属的这个谱系中进化。因此，我们必须寻找一种高级形式的 “嗯嗯 ”来解释这些解剖学发展和文化成就。
While the evolution of language would conveniently explain the large Neanderthal brain, the vocal tract, auditory capacity, and motor control over the tongue and breathing, there is nonetheless overwhelming evidence that language had not yet evolved within this lineage of the Homo genus. So we must look to an advanced form of ‘Hmmmmm’ to explain these anatomical developments and cultural achievements.
尼安德特人考古记录的三个特征为先进的 'Hmmmmm' 而不是 语言。第一个已经描述过：尼安德特人生活在小型、社交亲密社区的证据。 正如我为 Homo ergaster 辩护一样，尼安德特人群体的成员会分享关于他们的社会世界和当地环境的知识和经验。 并且会有一个共同的目标。拥有增强形式的“Hmmmmm”，如果 任何，都需要那种只能由组合语言产生的新奇话语。说白了， 他们没什么要说的，要么以前没说过很多次，要么换个语调就说不出来。 节奏、音高、旋律和伴随手势，这些都是广为人知的“嗯嗯”话语。
Three features of the Neanderthal archaeological record provide the compelling evidence for advanced ‘Hmmmmm’ rather than language. The first has already been described: the evidence that Neanderthals lived in small, socially intimate communities. Just as I argued for Homo ergaster, members of Neanderthal groups would have shared knowledge and experience about their social world and their local environment, and would have had a common purpose. With the possession of an enhanced form of ‘Hmmmmm’ there would have been limited, if any, need for the type of novel utterances that could only have been produced by compositional language. To put it plainly, they didn’t have much to say that had not either been said many times before or could not be said by changing the intonation, rhythm, pitch, melody and accompanying gestures of a widely understood ‘Hmmmmm’ utterance.
高级 'Hmmmmm' 而不是组合语言的另外两个证据来源需要进一步讨论：缺失 象征性的人工制品，以及巨大的文化稳定性的持续存在。
The two other sources of evidence for advanced ‘Hmmmmm’ rather than compositional language need further discussion: the absence of symbolic artefacts, and the continued presence of immense cultural stability.
没有象征性的人工制品
The absence of symbolic artefacts
象征性人工制品是那些被塑造或装饰的人工制品，因此它们具有相当随意的含义 与他们的形式有关。艺术作品是明显的例子，尤其是那些非代表性的艺术作品。考古学家的问题 面子是现代狩猎采集者——事实上，一般的现代人类——经常将象征意义完全归因于此 未经修改的现成物和景观的自然特征。我们永远无法确定尼安德特人没有这样做 相同。但没有任何被有意修改的物体，缺乏可行的功利性或其他非象征性的东西 解释表明我们应该谨慎行事。
Symbolic artefacts are those that have been either shaped or decorated so that they have a meaning that is quite arbitrary in relation to their form. Pieces of art are obvious examples, especially those that are non-representational. A problem archaeologists face is that modern hunter-gatherers – indeed, modern humans in general – frequently attribute symbolic meanings to entirely unmodified found objects and to natural features of the landscape. We can never be sure that the Neanderthals did not do the same. But the absence of any objects that have been intentionally modified and lack a feasible utilitarian or other non-symbolic interpretation suggests that we should err on the side of caution.
象征性人工制品和口语之间的联系很简单，尽管对一些人来说是有争议的：如果尼安德特人 能够使用单词——具有象征意义的离散话语——他们也能够将 Symbolic 归因 对象的含义。
The connection between symbolic artefacts and spoken language is simple, although to some it is contentious: if Neanderthals were able to use words – discrete utterances with symbolic meanings – they would have also been able to attribute symbolic meanings to objects.
具有象征意义的物体为社交互动提供了宝贵的帮助;我们不断使用它们，并且完全是 被他们包围。因此（对我来说）尼安德特人有能力生产象征性物体是不可思议的 但在 20 万多年里没有发现或选择使用这种能力，同时生活在最具挑战性的环境中，并且经常在 生存本身的边缘。象征性对象的缺失必然意味着象征性思维的缺失，因此 象征性话语。没有这些，根据定义，就没有语言。
Objects that have symbolic meanings provide an invaluable aid to social interaction; we use them continually and are entirely surrounded by them. And so it is inconceivable (to me) that Neanderthals could have had the capacity to produce symbolic objects but did not discover or choose to use that capacity for more than two hundred thousand years, while living in the most challenging of environments and often on the very edge of survival itself. The absence of symbolic objects must imply the absence of symbolic thought, and hence of symbolic utterances. Without these, by definition, there was no language.
尼安德特人及其直系祖先制作的一些物品被认为具有象征意义。 这些是如此罕见，性质如此多样，如此缺乏说服力，以至于象征性思维和语言的论点建立在 坦率地说，他们的存在——就像一些人所做的那样——是奇怪的。
There are a few objects made by Neanderthals and their immediate ancestors that have been claimed to have symbolic significance. These are so rare, so varied in nature, and so unconvincing, that basing an argument for symbolic thought and language on their existence – as some do – is frankly bizarre.
例如，有所谓的 Berekhat Ram 小雕像。18 这是一块火山石，大小不超过 3 厘米，发现于一个遗址中拥有 250， 000 年历史的矿床中 在以色列。有些人声称这块石头被故意改造成有头部、胸部和手臂的女性形状。其他，包括 我自己认为，这块石头和女性形象之间的任何相似之处都纯属巧合：它等同于面孔 我们有时会在云层或月亮中看到 – 就在旁观者的眼中。对这颗宝石的显微镜研究提供了 有力的证据表明，石刀确实改变了它。但很可能完全是为了功利目的，也许 制作一个楔子来支撑砧座。或者，切口可能是在钝化锋利的燧石片时做出的 这样它就可以被儿童使用或用于需要钝刃的任务，例如从皮肤上刮掉脂肪。
There is, for instance, the so-called Berekhat Ram figurine.18 This is a piece of volcanic stone, no more than three centimetres in size, found in a 250, 000-year-old deposit at a site in Israel. Some claim that the stone was deliberately modified into a female form with head, bosom and arms. Others, including myself, think that any similarity between the stone and a female form is entirely coincidental: it is equivalent to the faces we sometimes see in the clouds or the moon – it is in the eye of the beholder. A microscopic study of the stone has provided strong evidence that a stone blade did indeed modify it. But was most probably for an entirely utilitarian purpose, perhaps to make a wedge to support an anvil. Alternatively, the incision might have been made when blunting a razor-sharp flint flake so that it could be used by children or for a task that required a blunt edge, such as scraping fat off a skin.
另一个有争议的文物是 Bilzingsleben 的骨头切割碎片，Dietrich Mania 认为这是 是符号代码的一部分。19 虽然海德堡人（Homo heidelbergensis）的成员而不是尼安德特人应该对此负责，但对Mania的解释的验证表明，尼安德特人， 作为可能的后代，也能够制作象征性的人工制品。但是，几行代码并不能构成符号代码。 对 Bilzingsleben 线的另一种更可能的解释是，它们源自使用骨骼作为支撑 割草或割肉时，甚至可能用于敲打节奏。
Another contentious artefact is the incised fragment of bone from Bilzingsleben, the marks on which Dietrich Mania believes were part of a symbolic code.19 Although a member of Homo heidelbergensis rather than a Neanderthal would have been responsible, verification of Mania’s interpretation would suggest that the Neanderthals, as probable descendants, were also capable of making symbolic artefacts. A few lines, however, do not make a symbolic code. An alternative and more likely interpretation of the Bilzingsleben lines is that they derived from using the bone as a support when cutting grass or meat, or perhaps even for beating out rhythms.
那些无法忍受尼安德特人缺乏象征性思想的人声称，他们生活在很久以前，以至于很少有人， 如果有的话，象征性的人工制品应该会幸存下来。20 然而，时间并不是保存的唯一决定因素。有许多保存完好的尼安德特人遗址 除了保存完好的墓葬外，还提供了数以千计的文物和骨头。然而，这一切可以是 在这些地点发现了几块划伤的骨头和石头。
Those who cannot bear the idea that Neanderthals lacked symbolic thought claim that they lived such a long time ago that few, if any, symbolic artefacts would have survived.20 Time is not, however, the only determinant of preservation. There are numerous, extremely well-preserved Neanderthal sites which have provided many thousands of artefacts and bones, in addition to well-preserved burials. And yet all that can be found at such sites are a few pieces of scratched bone and stone.
关于象征主义存在的一个更具挑战性的论点来自尼安德特人人体彩绘的可能性。结节 含有矿物二氧化锰，这些锰是用石器刮掉的，在几个尼安德特人遗址中被发现。21 粉状二氧化锰可与水或其他液体如血液和树液混合，制成黑色油漆，如 智人在 40， 000 年前到达欧洲后绘制洞穴墙壁时使用。大量加工过的二氧化锰结核标本 来自尼安德特人占领的 Pech de l'Aze 洞穴的挖掘，目前正在由 Francesco 进行分析 D'Errico 在他位于波尔多的实验室。他认为尼安德特人可能大量使用了二氧化锰 颜料，许多地点都“错过”了证据，仅仅是因为挖掘者没想到会找到它。
A more challenging argument for the presence of symbolism comes from the possibility of Neanderthal body painting. Stone nodules containing the mineral manganese dioxide, which have been scraped with stone tools, have been found at several Neanderthal: sites.21 Powdered manganese dioxide can be mixed with water, or other liquids such as blood and tree sap, to make black paint, as used by Homo Sapiens when they painted cave walls after reaching Europe at 40, 000 years ago. Numerous specimens of worked manganese dioxide nodules have come from the excavations at the Neanderthal-occupied cave of Pech de l’Aze and are currently under analysis by Francesco D’Errico in his laboratory in Bordeaux. He believes that the Neanderthals may have made substantial use of manganese dioxide pigment, with the evidence having been ‘missed’ at many sites simply because the excavators did not expect to find it.
由于尼安德特人没有在洞穴墙壁或文物上留下任何颜料痕迹，因此最可能的解释是人体彩绘。 这并不一定意味着创建符号图像。我们可以猜测，尼安德特人是白皮肤的，是进化而来的 在高纬度地区，我们知道他们是大型猎物的猎人。这种油漆只是简单地使用了，这似乎是完全合理的 伪装他们的身体。或者，或者也许是另外，它可能出于美容原因而被使用——强调 一个人的外表作为性吸引手段的一个方面。
As the Neanderthals have left no traces of pigment on cave walls or artefacts, the most likely explanation is body painting. This need not imply the creation of symbolic images. We can guess that the Neanderthals were white-skinned, having evolved in high latitudes, and we know that they were big-game hunters. It seems entirely plausible that the paint was used simply to camouflage their bodies. Alternatively, or perhaps in addition, it may have been used for cosmetic reasons – to emphasise an aspect of one’s appearance as a means of sexual attraction.
如果尼安德特人的颜料使用是出于象征目的，我预计会看到更广泛的颜料代表 它们的部位，尤其是赭石的结节，被用来制造红色油漆。这是最早象征性的颜色 现代人类在南部非洲的活动（正如我将在下一章中描述的那样），而这种颜色的含义要多得多 比黑色更令人回味的内涵——正如进化心理学家尼古拉斯·汉弗莱 （Nicholas Humphrey） 曾经写道的那样，红色是“颜色货币 大自然的22
Had the Neanderthal pigment use been for symbolic purposes, I would expect to see a wider range of pigments represented at their sites, especially nodules of ochre used to create red paint. This is the colour that dominates the earliest symbolic activities of modern humans in southern Africa (as I will describe in the next chapter), and it is a colour that has far more evocative connotations than black – as the evolutionary psychologist Nicholas Humphrey once wrote, red is the ‘colour currency of nature’.22
巨大的文化稳定性
Immense cultural stability
反对尼安德特人拥有语言的观点的第二个主要论点是他们文化的巨大稳定性。 他们在大约 250， 000 年前制造的工具和他们采用的生活方式实际上与那些没有什么不同 当前在它们灭绝的那一刻，就在 30， 000 年前。正如我们从自己的个人经验和 对人类历史的片刻反思，语言是变革的力量：有了它，我们可以交流思想，以便我们的技术 得到了改进，并引入了新的生活方式。事实上，许多心理学家、哲学家和语言学家都声称，语言 不仅是一种交流思想的媒介，而且是一种复杂思想本身的媒介——我在我的《心灵史前史》中赞同这一观点，并将在我的下一章中进一步支持。那么，如果尼安德特人拥有语言，他们的文化又怎么可能拥有语言 保持如此稳定且范围如此有限？嗯，它根本不可能这样做。
The second major argument against the idea that Neanderthals possessed language is the immense stability of their culture. The tools they made and the way of life they adopted at around 250, 000 years ago were effectively no different from those current at the moment of their extinction, just after 30, 000 years ago. As we know from our own personal experience and from a moment’s reflection on human history, language is a force for change: with it we can exchange ideas so that our technology is improved and new ways of living are introduced. Indeed, many psychologists, philosophers and linguists claim that language is a medium not merely for exchanging ideas but for complex thought itself – a view I endorsed in my Prehistory of the Mind and will further support in my next chapter. So, if the Neanderthals had possessed language, how could their culture have remained so stable and so limited in scope? Well, it simply could not have done so.
声称尼安德特人文化是稳定的，既不是否认令人印象深刻的文化多样性，也不是否认 他们行为的复杂性。除了手斧和 Levallois 薄片外，尼安德特人还制作了石制品 使用各种其他技术，并且显然对他们可用的原材料类型做出反应。23 他们有很高的打磨技巧，我们必须假设他们也用骨头、木头和其他植物制作工具 材料，即使这些都没有幸存下来。尽管如此，整个尼安德特人时代都没有创新 存在是引人注目的;他们只是依靠从一系列久经考验的工具制造方法中进行选择。
To claim that Neanderthal culture was stable is neither to dismiss an impressive degree of cultural diversity nor to deny the complexity of their behaviour. In addition to their hand-axes and Levallois flakes, the Neanderthals made stone artefacts using a variety of other techniques and were evidently responsive to the types of raw materials available to them.23 They had very high levels of knapping skill, and we must assume that they also made tools from bone, wood and other plant materials, even though these have not survived. Nonetheless, the absence of innovations throughout the time of Neanderthal existence is striking; they simply relied on selecting from a repertoire of tried and tested tool-making methods.
与缺乏象征意义一样，这增加了意义，因为尼安德特人在生存的边缘摇摇欲坠。 我将在下面描述。如果有一群人需要发明弓箭，那么储存 食物、针线等等，都是尼安德特人。但这一切，都只伴随着使用语言的现代人类， 然后他们继续发明了农业、城镇、文明、帝国和工业。相比之下，尼安德特人表现出巨大的 文化稳定性，因此我们仍在关注一个具有整体而不是组合流形式的物种。
As with the lack of symbolism, this gains added significance because the Neanderthals were teetering on the edge of survival, as I will describe below. If ever there was a population of humans that needed to invent bows and arrows, the means for storing food, needles and thread, and so forth, it was the Neanderthals. But all of these came only with language-using modern humans, who then went on to invent farming, towns, civilizations, empires and industry. In contrast, the Neanderthals showed immense cultural stability, and so we are still looking at a species that had a holistic rather than a compositional form of communication.
Chatelperronian 问题
The Chatelperronian problem
尼安德特人文化的唯一重大变化似乎发生在他们在欧洲存在的尾声，即 35 岁。 000 到 30， 000 年前。法国的少数尼安德特人占领地发现了骨制品和牙齿吊坠 这暗示了新的行为形式——现代人类进行时涉及象征性思维的那种行为。 这些物品是所谓的 Chatelperronian 工业的一部分，它似乎结合了传统的尼安德特人制造业 石制品的技术与欧洲第一批现代人的特征。24 大多数考古学家认为，尼安德特人在他们的景观中看到了这些新来的人，并试图复制这块石头 他们使用的工具以及他们佩戴的珠子和吊坠，也许不了解它们的象征意义。 其他人则认为，在没有任何这些工具和身体装饰的情况下生活了二十多年之后， 尼安德特人终于在现代人类以几乎相同的套装到达欧洲之前立即开始使用它们 的人工制品。
The only significant change in Neanderthal culture appears to have come towards the end of their existence in Europe, at 35, 000 to 30, 000 years ago. A small number of Neanderthal occupation sites in France have revealed bone objects and tooth pendants that suggest new forms of behaviour – behaviour of the type that, when undertaken by modern humans, involves symbolic thought. These objects are part of the so-called Chatelperronian industry, which seems to combine the traditional Neanderthal manufacturing techniques for stone artefacts with those characteristic of the first modern humans in Europe.24 Most archaeologists believe that the Neanderthals saw these new arrivals in their landscapes and attempted to copy the stone tools they were using and the beads and pendants they were wearing, perhaps without understanding their symbolic dimension. Others believe that, after more than two hundred thousand years of living without any of these tools and body decorations, the Neanderthals finally began using them immediately before modern humans arrived in Europe with an almost identical set of artefacts.
在过去的几年里，这些解释在学术期刊的版面上进行了激烈的辩论，但没有 问题的任何解决方案。Francesco D'Errico 是独立发明理论的主要支持者，并携带了 对法国洞穴中的相关年代和地层证据进行了细致的检查，以确定哪个是尼安德特人的吊坠 或景观中的现代人。他已经确定是前者，但考古证据可能根本不够 detailed 来区分这两种情况。对于许多考古学家来说，包括我自己在内，尼安德特人的巧合 在现代人类出现之前就想出使用珠子佩戴它们，这实在是太棒了，令人难以置信。
These interpretations have been vigorously debated within the pages of academic journals over the last few years, without any resolution of the problem. Francesco D’Errico is the leading proponent of the independent invention theory and has carried out a meticulous examination of the relevant dating and stratigraphic evidence from the French caves in order to ascertain which came first Neanderthal pendants or modern humans in the landscape. He has decided that it was the former, but the archaeological evidence may simply be insufficiently detailed to distinguish between the two scenarios. For many archaeologists, myself included, the coincidence of Neanderthals coming up with the use of beads just before modern humans appeared wearing them is just too great to be believed.
所以我的观点是，欧洲最后的尼安德特人是在模仿使用符号的现代人，而不理解 符号的力量。毕竟，模仿是尼安德特人文化的核心，是工具制造传统的关键手段 代代相传。我们一点也不惊讶他们模仿 新的、黑皮肤的现代人来到这里——也许他们把自己的皮肤涂成自己的皮肤，让他们看起来像他们——即使他们不能 欣赏任意含义可以附加到珠子等物理对象上的方式。
So my view is that the final Neanderthals in Europe were imitating the symbol-using modern humans without understanding the power of symbols. Imitation was, after all, at the centre of Neanderthal culture as the key means by which tool-making traditions were passed on from one generation to the next. We should not be at all surprised that they imitated the behaviour of the new, black-skinned modern human arrivals – and perhaps painted their own skins to look like them – even if they were unable to appreciate the manner in which arbitrary meanings could be attached to physical objects such as beads.
尼安德特人的思想
The Neanderthal mind
在考虑了尼安德特人语言完全缺乏证据之后，我们现在必须转向尼安德特人的思想，之前 考虑到他们使用“嗯嗯”。尼安德特人自从他们的 1856 年的发现是，他们在某些方面似乎像我们一样是现代的，而在其他方面，他们似乎没有什么不同 来自更早期的 Homo 形式，它们的大脑要小得多。他们看起来如此现代 – 如此智能 – 因为他们能够将复杂化 石制品，狩猎大型猎物，仅仅为了在恶劣的北方景观中生存 20 多万年。 相反，他们似乎如此“原始”——如此缺乏智慧——因为他们的技术停滞不前 缺乏象征性思维，也缺乏语言。
Having considered the complete lack of evidence for Neanderthal language, we must now turn to the Neanderthal mind, before considering their use of ‘Hmmmmm’. The underlying reason why the Neanderthals have caused so much controversy since their discovery in 1856 is that in some respects they appear to be modern, like us, while in others they appear little different from the much earlier forms of Homo, which possessed considerably smaller brains. They appear so modern – so intelligent – because they were able to make complex stone artefacts, to hunt big game, and simply to survive for more than two hundred thousand years in harsh northern landscapes. Conversely, they appear to be so ‘primitive’ – so lacking in intelligence – because of the stasis in their technology, the absence of symbolic thought, and their lack of language.
我第一次尝试解决这个悖论是在我 1996 年的书《心灵的史前史》中发表的。25 借鉴进化论和发展心理学的理论，我认为尼安德特人具有“特定领域” 情报。我的意思是，他们有非常现代的思维方式和关于自然世界的知识储备。 物理材料和社会互动，但无法在这些“领域”之间建立联系。所以，例如， 他们拥有制作与任何现代人一样复杂的人工制品的技术技能，毫无疑问，他们也 拥有复杂的社会关系，必须不断监控、操纵和维护。但他们无法做到 利用他们的技术技能制作人工制品来调解这些社会关系，就像我们无时无刻不在选择穿什么衣服或珠宝一样，就像所有现代狩猎采集者一样，通过他们的 可选择珠子和吊坠。
My first attempt to resolve this paradox was published in my 1996 book, The Prehistory of the Mind.25 Drawing on theories from evolutionary and developmental psychology I argued that the Neanderthals had a ‘domain-specific’ intelligence. By this I meant that they had very modern-like ways of thinking and stores of knowledge about the natural world, physical materials and social interaction, but were unable to make connections between these ‘domains’. So, for instance, they had the technical skills for making artefacts as sophisticated as those of any modern human, and they undoubtedly also had complex social relationships which had to be continually monitored, manipulated and maintained. But they were unable to use their technical skills to make artefacts to mediate those social relationships, in the way that we do all the time by choosing what clothes or jewellery to wear, and as do all modern hunter-gatherers through their choice of beads and pendants.
另一个例子涉及狩猎技术。尽管尼安德特人一定对 动物行为，他们无法设计专门的狩猎武器，因为他们无法带来他们的技术和 自然历史智能一起形成一个单一的“思想”。赫尔穆特·蒂姆 （Helmut Thieme） 和罗宾·丹内尔 （Robin Dennell） 像标枪一样强调 Schoningen 长矛的品质;但是，虽然我们必须相信尼安德特人拥有类似的武器以及燧石尖 刺矛，都无法与现代人类狩猎采集者使用的多部分长矛的复杂程度相提并论。那里 没有证据表明尼安德特人创造了特定类型的狩猎武器来针对不同类型的动物 在不同的情况下。
Another example concerns hunting technology. Although the Neanderthals must have had an extensive and detailed knowledge of animal behaviour, they were unable to design specialized hunting weapons because they could not bring their technical and natural history intelligence together into a single ‘thought’. Helmut Thieme and Robin Dennell have stressed the javelin-like qualities of the Schoningen spears; but while we must believe that the Neanderthals had similar weapons as well as flint-tipped thrusting spears, neither matched the sophistication of the multi-part spears used by modern human hunter-gatherers. There is no evidence to suggest that the Neanderthals created specific types of hunting weapons to target different types of animals in different situations.
这种特定领域的智能部分解释了尼安德特人的大脑大：他们拥有与我们相当的神经回路 在数量和复杂性方面，使工具制作、社交和与自然世界互动成为可能。他们缺乏的是 在这些域之间建立连接的额外神经回路，这可能只需要很少的额外容量。 考古学家托马斯·韦恩 （Thomas Wynn） 和心理学家弗雷德里克·柯立芝 （Frederick Coolidge） 的合作团队建议，这些回路 与工作记忆相关。他们的观点是，尼安德特人能够积极关注各种信息 比现代人少。26 无论增强的工作记忆是否是关键，现代人拥有的额外神经回路为他们提供了 我称之为“认知流动性”。从本质上讲，这就是隐喻的能力，它是艺术、科学和宗教的基础 – 那些在尼安德特人考古记录中没有体现的行为类型。
This domain-specific intelligence partly explains the Neanderthals’ large brain: they had neural circuits equivalent to ours in number and complexity, enabling tool-making, socializing and interaction with the natural world. What they lacked were the additional neural circuits that made connections between these domains, which may have required very little extra capacity. The collaborative team of archaeologist Thomas Wynn and psychologist Frederick Coolidge have suggested that these circuits related to working memory. Their view is that the Neanderthal capacity to hold a variety of information in active attention was less than that of modern humans.26 Whether or not enhanced working memory is the key, the extra neural circuits that modern humans possess provide them with what I term ‘cognitive fluidity’. This is, in essence, the capacity for metaphor, which underlies art, science and religion – those types of behaviour that go unrepresented in the Neanderthal archaeological record.
虽然我在 1996 年的书中将特定领域的心态归因于尼安德特人，而不是认知上流动的心态 对解释他们的行为和他们留下的考古记录大有帮助，但它无法完全解释 因为他们的大大脑。为此，我们需要了解他们的交际行为和情感生活——这些话题是 在我以前的工作中被忽视了。当然，这本书一直在试图纠正这种遗漏;尼安德特人 可能没有语言，但他们确实有 'Hmmmmrn'。
While the domain-specific, rather than cognitively fluid, mentality that I attributed to the Neanderthals in my 1996 book goes a long way towards explaining their behaviour and the archaeological record they left behind, it cannot entirely account for their large brains. For that we need to understand their communicative behaviour and emotional lives – topics which were neglected in my previous work. It is this omission, of course, that this book has been attempting to rectify; the Neanderthals may not have had language, but they did have ‘Hmmmmrn’.
“嗯嗯”的尼安德特人
‘Hmmmmm’-ing Neanderthals
在前面的章节中，我研究了类似音乐的发声的几种功能，并认为 Homo habilis、Homo ergaster 和 Homo heidelbergensis 会在他们的通信系统中不同程度地使用这些功能。Homo habilis 很可能使用发声和身体动作来表达和诱导情绪，程度如此之高。超过任何现代 非人类灵长类动物，但与现代人类相比，这受到了相当大的限制，因为拥有相对 类似猿的声带和有限的肌肉控制。发声和动作都会大大增强 随着两足行走的进化，因此后来的 Homo 物种能够进行广泛的模仿，以交流自然世界及其情绪状态。 在 Homo ergaster 和 Homo heidelbergensis 中，唱歌可能是吸引配偶的一种手段，也是一种受到某种程度性选择的行为。歌唱 也是一种在婴儿“放下”时安抚婴儿的方法，并促进他们的情感发展和习得 成人通信系统的。最后，由于合作在那些早期人类社会中是必不可少的，歌舞 很可能被用来在个人和群体之间产生社会纽带。
In my previous chapters I have examined several functions of music-like vocalizations and argued that Homo habilis, Homo ergaster and Homo heidelbergensis would have employed these to varying extents within their communication systems. Homo habilis most likely used vocalizations and body movements to express and induce emotions in a manner that far. exceeded any modern non-human primate but that was quite restricted in comparison with modern humans, owing to the possession of a relatively ape-like vocal tract and limited muscular control. Both vocalizations and movement would have been substantially enhanced following the evolution of bipedalism, so that later species of Homo were able to engage in extensive mimesis in order to communicate about both the natural world and their emotional states. In both Homo ergaster and Homo heidelbergensis, singing may have been a means of attracting mates and a behaviour that was subject to some degree of sexual selection. Singing would have also been a means to reassure infants when ‘put down’, and to facilitate their emotional development and the acquisition of an adult communication system. Finally, as cooperation was essential in those Early Human societies, singing and dancing would most probably have been used to engender social bonds between individuals and groups.
通过拥有更大的体型，通过生活在更具挑战性的环境中，通过拥有特别繁重的婴儿，以及 由于尼安德特人更加依赖合作，他们本可以进化出一种类似音乐的通信系统，这种系统是 比之前任何一个 Homo 物种中发现的都更复杂、更复杂。
By having a larger body size, by living in more challenging environments, by having particularly burdensome infants, and by having even greater reliance on cooperation, the Neanderthals would have evolved a music-like communication system that was more complex and more sophisticated than that found in any of the previous species of Homo.
我们经常强调尼安德特人与智人相比所缺乏的东西——象征性物体、文化变革、语言、认知流动性等等——以至于我们忘记了他们也是如此;有 五十万年的独立进化。通过高级 “嗯嗯” – 不仅是喜悦和悲伤，还有焦虑、羞愧和内疚 – 以及关于 自然世界通过标志性的手势、舞蹈、拟声词、声音模仿和声音联觉，导致了进一步的 随着额外的神经回路的形成，大脑的扩张和内部结构的变化。我们还必须回顾一下 从前面的章节中，完美音调的证据和解释。没有语言的发展，它最 很可能尼安德特人保持了我们必须假设他们出生时具有的完美音调能力，这将 与早期人和现代人类相比，他们的音乐能力得到了增强。
We so often emphasize what the Neanderthals lacked in comparison with Homo sapiens – symbolic objects, cultural change, language, cognitive fluidity and so on – that we forget that they, too; had as much as five hundred thousand years of independent evolution. The selective pressures to communicate complex emotions through advanced ‘Hmmmmm’ – not just joy and sadness but also anxiety, shame and guilt – together with extensive and detailed information about the natural world via iconic gestures, dance, onomatopoeia, vocal imitation and sound synaesthesia, resulted in a further expansion of the brain and changes to its internal structure as additional neural circuits were formed. We must also recall from earlier chapters the evidence for and interpretation of perfect pitch. Without the development of language, it is most likely that Neanderthals maintained the capacity for perfect pitch with which we must assume they were born, and this would have enhanced their musical abilities in comparison with those found in both earlier Homo and modern humans.
尼安德特人会比以前的 Homo 物种拥有更多的整体短语，这些短语具有更大的语义复杂性，可用于更广泛、更具体的情况。我认为这也是可能的 其中一些被相互结合使用以创造简单的叙述。此外，尼安德特人的音乐性 将使每个整体话语的含义比以往任何时候都更加细微差别，因此特定的情感效果将具有 已创建。但是，无论尼安德特人“嗯嗯”的通信系统多么复杂，它仍然是一个相对固定的系统 在思想和文化停滞中促进保守主义的言论。
The Neanderthals would have had a larger number of holistic phrases than previous species of Homo, phrases with greater semantic complexity for use in a wider range of more specific situations. I think it is also likely that some of these were used in conjunction with each other to create simple narratives. Moreover, the Neanderthal musicality would have enabled the meaning of each holistic utterance to be nuanced to greater degrees than ever before, so that particular emotional effects would have been created. But however sophisticated a communication system Neanderthal ‘Hmmmmm’ was, it remained one of relatively fixed utterances that promoted conservatism in thought and cultural stasis.
对尼安德特人大脑和通信系统的这种解释使我们能够查看一些关键的化石发现和 从新角度看考古遗址。这些只不过是尼安德特人社区的快照 分布在冰河时代的欧洲和近东，彼此相对隔离但不完全隔离。一些 为了维持遗传和可能的人口生存能力，成员的联系和交换是必不可少的。 但是我们应该设想每个群体都在发展他们自己的 “嗯嗯 ”版本，其中的某些方面可能是相对的 其他群体的成员无法理解，尽管会有很多共同特征。有了这个 他们的通信系统，我们可以获得比以前更全面的尼安德特人生活方式。
This interpretation of the Neanderthal brain and communication system allows us to look at some of the key fossil finds and archaeological sites from a new perspective. These provide no more than snapshots into what would have been Neanderthal communities distributed across ice-age Europe and the Near East, living in relative, but not complete, isolation from each other. Some contact and exchange of members would have been essential in order to maintain genetic and probably demographic viability. But we should envisage each group as developing their own version of ‘Hmmmmm’, some aspects of which may have been relatively unintelligible to members of other groups, although there would have been a great many common features. With this view of their communication system, we can gain a more comprehensive view of Neanderthal lifestyles than has previously been available.
生存之争
The struggle for survival
通过检查他们的骨骼遗骸，人类学家确定了尼安德特人的世界有多么艰难;替换为 死亡率略有增加或生育率下降，他们的社区很容易减少和消失。27 看来很少有尼安德特人能活过 35 岁，这使得他们的人口只能勉强维持生计。28 从骨骼中可以明显看出疾病和创伤的高发病率证实了这一结论：尼安德特人的生活是 坚硬，通常短暂，并且经常涉及相当大的疼痛。拉夏贝尔的所谓“老人”，他还没有到达 他去世时四十岁，颅骨、下巴、脊柱、臀部和脚部患有退行性关节疾病，肋骨骨折， 广泛的牙齿脱落和脓肿。许多骨骼遗骸显示出类似疾病和骨折的证据。29
By examining their skeletal remains, anthropologists have established how tough the world was for the Neanderthals; with a slight increase in mortality or a decrease in fertility, their communities could easily have dwindled and disappeared.27 It appears that very few Neanderthals lived beyond the age of thirty-five, leaving their populations only marginally viable.28 This conclusion is confirmed by the high incidence of disease and trauma evident from the skeletons: Neanderthal life was hard, often short, and frequently involved considerable pain. The so-called ‘old man’ of La Chapelle, who had not reached forty when he died, had suffered from degenerative joint disease in the skull, jaw, spinal column, hips and feet, a rib fracture, extensive tooth loss, and abscesses. Many skeletal remains display evidence of similar diseases and fractures.29
一些骨骼显示出足够的愈合，表明存在社会关怀。典型的例子是 Shanidar 1 人，Shanidar 是伊拉克的一个洞穴，从那里出土了特别重要的尼安德特人遗骸。30 这个标本显示了头部受伤和身体右侧大面积挤压的证据。他的伤可能是 由落石引起;该男子还患有至少一只眼睛失明、感染和部分瘫痪。然而，他 已经存活了几年，如果没有实质性的照顾——带来食物和水——他不太可能这样做 对他来说，被保暖，接受情感支持，也许还有药用植物。
Some of the skeletons show sufficient healing to suggest the presence of social care. The classic example is the Shanidar 1 man, Shanidar being a cave in Iraq from which a particularly important collection of Neanderthal remains have been excavated.30 This specimen shows evidence of head injuries and extensive crushing to the right side of the body. His injuries were probably caused by a rock fall; the man also suffered from blindness in at least one eye, infections and partial paralysis. Yet he had survived for several years, and he is most unlikely to have done so without substantial care – having food and water brought to him, being kept warm, and receiving emotional support and perhaps medicinal plants.
我认为“音乐疗法”很可能被用作减轻压力、促进愈合和促进回归的手段 的运动协调。我们在第 7 章中看到了这是多么有效，我可以很容易地想象尼安德特人轻柔地歌唱 安抚痛苦和痛苦的人，并敲击节奏以帮助受伤或残疾的人移动。
I think it most likely that ‘music therapy’ was used as a means to reduce stress, improve healing and facilitate the return of motor coordination. We saw in chapter 7 how effective this can be, and I can readily imagine Neanderthals singing gently to calm the distressed and those in pain, and tapping out rhythms to help the movements of those who were injured or disabled.
无论这种护理是否涉及音乐治疗，仅仅是出于爱和尊重，或者甚至是一个残疾人 对小组做出了一些实际贡献，例如有关如何在不经常发生的 但严重的情况，永远不会为人所知。然而，我们可以确信的是，即使尼安德特人群体 在冰河时代的气候中为生存而挣扎，他们找到了时间和精力来照顾病人和伤员。
Whether such care, involving music therapy or not, arose simply from affection and respect, or whether even a disabled man had some practical contribution to make to the group, such as knowledge about how to survive during infrequently occurring but severe conditions, will never be known. What we can be confident about, however, is that even when the Neanderthal groups were struggling for survival in an ice-age climate, they found the time and energy to look after the ill and injured.
在冰河时代的条件下，做出决定是生死攸关的问题;尼安德特人的生活充满了决定——从什么 狩猎、在哪里狩猎、与谁一起狩猎、制作什么工具等等，再到决定与谁交配以及是否交配 照顾受伤的群体成员。男性需要决定是否不仅提供女性，而且 还有婴儿。为他们绝对是父亲的婴儿提供食物和保护也许是一个简单的选择 使;更具争议性的是涉及父子关系不明的婴儿的决定，甚至涉及父亲 已经死亡或受伤。
In ice-age conditions, making decisions was a matter of life or death; and Neanderthal life was full of decisions – from what to hunt, where to hunt, who to hunt with, what tools to make and so on to decisions about who to mate with and whether to care for an injured member of the group. The males had decisions to make regarding whether to provision not only females but also infants. Providing food and protection to an infant of whom they were definitely the father was perhaps an easy choice to make; more contentious would have been decisions involving infants whose paternity was unclear, or even those whose fathers had died or were injured.
正如第 7 章所讨论的，为了做出理性的决定，人类的大脑不仅需要做出判断的能力 处理大量信息，但也感受情感。没有感到快乐或悲伤，没有生气或兴高采烈， 焦虑或自信，无法做出理性的、“最佳”的选择。因此，既然做出正确的决定是这样的 因此，他们一定是高度情绪化的人，这可以在他们的 话语、他们的姿势和手势。
As was considered in chapter 7, to arrive at rational decisions, human minds require the capacity not only to rnake judgements and to process considerable information, but also to feel emotion. Without feeling happy or sad, getting angry or elated, anxious or confident, the rational, ‘optimal’ choices cannot be made. Therefore, since making the right decision was of such consequence for the Neanderthals, they must have been highly emotional people, and that would have found expression in their utterances, their postures and their gestures.
这就是为什么合作 – 共享信息和资源，在狩猎期间作为一个团队工作，互相关心 福祉对它们的生存来说比对它们之前的物种来说更加重要。那里 不太可能是人类群体——现代人、尼安德特人或其他人类——对他们来说，创造一个社会 身份凌驾于个人身份之上更为重要。为此，音乐可能是必不可少的。这是 现代人类的情况是：当生活在逆境中时，他们会创作音乐。这样的音乐可以促进强烈的社会联系 并促进相互支持。我毫不怀疑尼安德特人的行为方式完全相同。因此，公共 唱歌和跳舞在通过“Hmmmrnm”传达的欧洲非语言、非象征性的冰河时代人群中会很普遍。
This is why cooperation – the sharing of information and resources, working as a team during a hunt, caring for each other’s well-being – would have been even more essential for their survival than it had been for the species that preceded them. There is unlikely ever to have been a population of humans – modern, Neanderthal or otherwise – for whom the creation of a social identity to override that of the individual was more important. For that, music is likely to have been essential. This is the case for modern humans: when living in conditions of adversity, they make music. Such music enables intense social bonding and facilitates mutual support. I have no doubt that the Neanderthals behaved in exactly the same way. As a consequence, communal singing and dancing would have been pervasive among the non-linguistic, non-symbolic, ice-age populations of Europe that communicated by ‘Hmmmrnm’.
拟态和狩猎
Mimesis and hunting
从尼安德特人的洞穴中发出的一缕“Hmmmrnm”可能是计划狩猎或最近才出现的猎人 与游戏一起返回。我们对此的最佳见解来自位于法国多尔多涅地区的 Combe Gnrenal 洞穴。31
One strand of ‘Hmmmrnm’ emanating from the Neanderthals’ caves would have been that of hunters either planning hunts or recently returned with game. Our best insight into this comes from the cave of Combe Grenal, located in the Dordogne region of France.31
这个洞穴在 115， 000 至 50， 000 年前被用作尼安德特人的居住地，导致 55 个不同的 占用层。这些是由伟大的法国考古学家弗朗索瓦·博尔德 （François Bordes） 在 1950 年代和 1960 年代挖掘出来的，他 回收了大量石制品和动物骨骼，以及花粉和沉积物样本，这些样本提供了 有关上一个冰河时代气候变化的信息。Bordes 于 1981 年去世，当时他的发掘工作还没有完全发表。 但有几位考古学家研究了他发现的材料。这使得该网站成为我们尝试的中心 了解尼安德特人。
This cave was used as a Neanderthal occupation site between 115, 000 and 50, 000 years ago, resulting in fifty-five distinct occupation layers. These were excavated during the 1950s and 1960s by the great French archaeologist François Bordes, who recovered extensive collections of stone artefacts and animal bones, along with samples of pollen and sediments that provided information about climatic changes during the last ice age. Bordes died in 1981 before his excavations were fully published, but several archaeologists have studied the materials he found. This has placed the site at the centre of our attempts to understand the Neanderthals.
宾夕法尼亚大学博物馆 （University of Pennsylvania Museum） 的美国考古学家菲利普·蔡斯 （Phillip Chase） 对科姆河进行了最详细的研究 颅骨动物骨骼，按物种识别它们，描述骨骼的哪些部分存在，并检查 石器造成的任何切割痕迹的骨头。每个职业层的收集中有四个物种占主导地位：马、红 鹿、驯鹿和牛科动物。蔡斯确定这些动物是被猎杀还是被捡拾的;在后一种情况下，非常 特定类型的骨头被带回洞穴，并且没有与移除相关的屠宰痕迹 大片肉片。
Phillip Chase, an American archaeologist at the University of Pennsylvania Museum, made the most detailed study of the Combe Grenal animal bones, identifying them by species, describing which parts of the skeletons were present, and inspecting the bones for any cut-marks made by stone tools. Four species dominated the collections from each occupation layer: horse, red deer, reindeer, and bovids. Chase ascertained whether the animals had been hunted or scavenged; in the latter instance very specific types of bones are brought back to the cave and there is an absence of butchery marks associated with the removal of large fillets of meat.
他的结果表明，马鹿和驯鹿都被猎杀了。只有少量的个体动物被代表 在任何一层中，因此这些动物似乎是在洞穴附近一个接一个地跟踪的。上 另一方面，马骨和牛骨的收藏包括相对大量的头骨和下颌。这表明 这些动物是从食肉动物杀死的残余物中搜刮而来的，因为头部通常是唯一留下的身体部位; 它们对人类来说营养丰富，与食肉动物不同，人类可以将头骨劈开以提取大脑和舌头。
His results indicated that both red deer and reindeer were hunted. Only small numbers of individual animals were represented in any one layer, and so it appears that these animals were stalked on a one-by-one basis in the vicinity of the cave. On the other hand, the collections of horse and bovid bones included a relatively large number of skulls and jaws. This suggests that these animals were scavenged from the remnants of carnivore kills, as the heads are often the only body parts left behind; they can be highly nutritious for humans who, unlike carnivores, can crack the skulls apart to extract the brains and tongues.
因此，我们所看到的画面是尼安德特人猎人从 Combe Grenal 出发寻找猎物，情况大致相同 方式，就像我们想象的 Homo heidelbergensis 从 Schöningen 狩猎一样。尼安德特人是否有类似的标枪状木矛是一个有争议的问题;他们当然 带柄的石尖制成短的突刺型长矛。他们寻找和找到的动物类型部分取决于 在狩猎发生的日期。在占领的早期，即 115， 000 至 100， 000 年前，气候相对 温暖，洞穴周围环绕着林地，因此发现这些层以马鹿为主也就不足为奇了。 在占领的后期，当气候变得更寒冷和更干燥时，林地被开阔的苔原所取代 树木只能在有遮蔽的山谷中存活下来。因此，驯鹿骨头变得更加频繁。
The picture we have, therefore, is of Neanderthal hunters departing from Combe Grenal to search for prey, in much the same manner as we imagined Homo heidelbergensis hunting from Schöningen. Whether the Neanderthals had similar javelin-like wooden spears is a moot point; they certainly hafted stone points to make short, thrusting-type spears. The type of animals they searched for and found depended partly upon the date at which the hunting took place. During the earlier periods of occupation, between 115, 000 and 100, 000 years ago, the climate was relatively warm and the cave was surrounded by woodland, so it is not surprising to find that these layers are dominated by red deer. During the later periods of occupation, when the climate had become colder and drier, woodland was replaced by open tundra and trees survived only in the sheltered valleys. As a result, reindeer bones become much more frequent.
无论是寻找动物或尸体，在林地还是在苔原上狩猎，使用投掷或刺矛，尼安德特人 离开 Combe Grenal 的人会进行一些计划并“询问”最近的猎物目击事件。为此，标志性的 手势、模仿、声音模仿、拟声词和声音联觉都会被使用——而且很可能更多 比尼安德特人的祖先使用的更详细，如前几章所述。
Whether looking for animals or carcasses, hunting in woodland or on tundra, using throwing or thrusting spears, the Neanderthals who departed from Combe Grenal would have undertaken some planning and ‘asked’ about recent game sightings. To do so, iconic gesture, mimesis, vocal imitation, onomatopoeia and sound synaesthesia would all have been used – and were most probably more elaborate than those used by the Neanderthals’ ancestors, as described in previous chapters.
Combe Grenal 的证据表明，动物是逐个跟踪的。由于驯鹿的频率， 马鹿、野牛和马以相当可预测的方式变化，环境变化的顺序在 115， 000 到 50 之间， 000 年前，尼安德特人似乎只是拿走了他们在洞穴附近能找到的任何东西。别处 然而，有证据表明存在大规模杀戮，这表明狩猎中的计划和合作程度高于 推断于 Combe Grenal。这些证据来自几个“开放地点”，这些地方的动物骨骼密度很高，而且 已经发现了石制品，这些文物似乎是杀戮和屠杀的地点。
The evidence from Combe Grenal suggests that animals were stalked on a one-by-one basis. Since the frequencies of reindeer, red deer, bison and horse vary in rather predictable ways with the sequence of environmental change between 115, 000 and 50, 000 years ago, it seems likely that the Neanderthals simply took whatever they could find in the vicinity of the cave. Elsewhere, however, there is evidence for mass killing, suggesting higher degrees of planning and cooperation in the hunt than can be inferred at Combe Grenal. This evidence comes from several ‘open sites’, localities where high densities of animal bones and stone artefacts have been found, which appear to have been kill and butchery sites.
最引人注目的例子是位于比利牛斯山脚下的莫兰。32 这是在陡峭的河边悬崖附近挖掘出大量野牛骨头的地方。看起来 尼安德特人将小群野牛从悬崖边缘逼下，然后这些野牛坠落而死。要做到这一点，也许有几个 许多人，猎人会一起努力踩踏这些动物。毛兰的屠杀似乎发生在 尼安德特人对欧洲占领的结束，大约在 50， 000 年前。
The most striking example is Mauran, in the foothills of the Pyrenees.32 This is where a massive accumulation of bison bones was excavated close to a steep riverside escarpment. It appears that the Neanderthals forced small herds of bison off the cliff edge, which then fell to their deaths. To do so, several, perhaps many, hunters would have worked together to stampede the animals. The slaughters at Mauran appear to have occurred towards the end of the Neanderthal occupation of Europe, probably around 50, 000 years ago.
更早的时候，大约在 125， 000 年前，海峡岛的 La Cotte 使用了类似的狩猎技术 泽西岛。33 在 1970 年代发掘时，在悬崖脚下的一个洞穴中发现了成堆的猛犸象和犀牛骨。它似乎 这些动物也被推离边缘，摔死，然后被等待的尼安德特人屠杀 在基地，他将选定的部分拖入洞穴并远离徘徊的食肉动物。
Considerably earlier, at around 125, 000 years ago, a similar hunting technique was used at La Cotte on the Channel Island of Jersey.33 When excavated in the 1970s, mammoth and rhino bones were found in stacks within a cave at the foot of a cliff. It appears that these animals, too, had been forced off the edge, fell to their deaths, and were then butchered by Neanderthals waiting at the base, who dragged selected parts into the cave and away from prowling carnivores.
可以引用更多通过伏击或悬崖坠落狩猎进行大规模杀戮的例子，但我的观点是由 Mauran 提出的 和 La Cotte：有时，尼安德特人从事需要群体广泛合作的狩猎。当然，这不应该让我们感到惊讶，但它确实强调了模仿的交流是多么重要 为了制定和执行互惠互利的计划。
Further examples of mass killing by either ambush or cliff-fall hunting could be cited, but my point has been made by Mauran and La Cotte: at times, the Neanderthals engaged in hunting that required extensive cooperation by groups. This should not, of course, surprise us, but it does emphasize how essential communication by mimesis must have been in order to develop and execute plans for mutual benefit.
石材工具和配接模式
Stone tools and mating patterns
除了狩猎之外，信息交流对于尼安德特人生活的许多方面都是必要的。一个 我们有直接证据表明石器是制造的。这些可以告诉我们的不仅仅是技术有多可靠 技能必须代代相传;它们还显示了配接模式与 Homo ergaster 和 Homo heidelbergensis 的时间，对 'Hmmmmm' 的使用有影响。
The exchange of information would have been necessary to many aspects of Neanderthal life other than hunting. One for which we have direct evidence is the manufacture of stone tools. These can tell us far more than just how reliably technological skills must have been passed on from generation to generation; they also indicate how mating patterns had changed from the time of Homo ergaster and Homo heidelbergensis, with implications for the usage of ‘Hmmmmm’.
正如我们在第 12 章中所研究的，海德堡人制作的一种突出工具是梨形、卵形或尖锐的石制手斧，其特征表明它用作展示手段 对异性。我的假设是，男性制作这样的人工制品是为了向女性宣传他们的基因质量;这 女性想要“好基因”，但在资源供应方面不需要男性投资，因为存在 为怀孕和哺乳期女性提供支持的女性亲属网络。
As we examined in chapter 12, a prominent type of tool made by Homo heidelbergensis was the pear-shaped, ovate or sharply pointed stone hand-axe, the features of which suggest its use as a means of display to the opposite sex. My hypothesis is that males made such artefacts to advertise the quality of their genes to females; the females wanted ‘good genes’ but did not require male investment in terms of resource provision, owing to the existence of female kin networks that provided support to pregnant and nursing females.
尽管一些尼安德特人继续制造手斧，但这些已成为技术曲目中的有限元素 到 250， 000 年前。相反，片状工具占主导地位。类似的技术转变也发生在非洲，大约 同一天。我相信，两者都可以用男女关系的重大变化来解释。34
Although some Neanderthals continued to make hand-axes, these had become a limited element in the technological repertoire by 250, 000 years ago. Instead, flake tools were predominant. A similar shift in technology also occurred in Africa at about the same date. Both can be explained, I believe, by a significant change in male-female relationships.34
与早期的 Homo 物种相比，Homo neanderthalensis 的身体和大脑大小增加，这将给怀孕期间的雌性带来更大的能量需求，并使新生儿甚至 更长的时间更无助。此外，我们知道在尼安德特人中，周围的“祖母”很少 在怀孕和哺乳时供养他们的女儿，因为尼安德特人的预期寿命相对较短，几乎没有 活过 35 岁。我相信，结果是雌性现在需要选择交配伙伴 对于智力和体力以外的品质，因此不能再简单地依靠从中评估这些 他们制作的石器和他们的外表。
The increase in body and brain size of Homo neanderthalensis over earlier Homo species would have placed even greater energy demands upon the females during pregnancy, and would have made newborns even more helpless for a greater length of time. Also, we know that among the Neanderthals there were few ‘grandmothers’ around to support their daughters when pregnant and nursing, owing to the Neanderthals’ relatively short life expectancy, with few surviving beyond the age of thirty-five. The consequence was, I believe, that females now needed to select mating partners for qualities other than intelligence and physical strength, and hence could no longer rely on assessing these simply from the stone tools they made and their physical appearance.
随着冰河时代生活带来的额外挑战，雌性现在需要雄性提供资源以及 他们的基因;它们需要雄性为自己和他们的共同后代获取和分享食物，并提供住所。 衣服、火和冰河时代生活的其他必需品。他们需要可以信任的可靠男性。这些属性可以 不再通过展示优雅的石器来展示，这些工具可能对屠宰有好处，但对狩猎的效用有限。因此，变得有吸引力的工具是高效的狩猎武器 – 木柄，尖端有石尖。而变得有吸引力的雄性是那些能 “把培根带回家 ”的雄性， 或者至少是冰河时代的等价物。
With the additional challenges that ice-age life presented, the females now required males to provide resources as well as their genes; they needed males to secure and share food for themselves and their joint offspring, and to provide shelter, clothing, fire and other necessities of ice-age life. They needed reliable males whom they could trust. Such attributes could no longer be demonstrated by the display of elegant stone tools, which may have been good for butchery but had limited utility for hunting. Hence the tools that became attractive were efficient hunting weapons – wooden hafts tipped with stone points. And the males that became attractive were those who could ‘bring home the bacon’, or at least its ice-age equivalent.
这些社会和技术变化的结果是，男性尼安德特人不再可能唱歌和 跳舞以吸引女性;他们的音乐能力不再受制于性选择，即使他们会 在一定程度上是由于人类进化的早期阶段而持续存在的。相反，会有歌唱和 跳舞作为广告和巩固配对纽带的一种手段。在那之后，会来......
The consequence of these social and technological changes is that male Neanderthals were no longer likely to have sung and danced in order to attract females; their musical abilities were no longer subject to sexual selection, even though they would have persisted in part as a consequence of that earlier phase of human evolution. Instead, there would have been singing and dancing as a means of advertising and consolidating pair-bonding. And after that, would have come …
更多婴儿
More babies
1999 年 9 月，我与 Erella Hovers 一起参观了以色列的 Amud 洞穴，他的挖掘工作在 1990 年代初发现了几名尼安德特人的遗骸以及许多文物和动物骨骼碎片。35 这个洞穴位于一个干燥的山谷中，景色相当壮观。我知道我们快要靠近了那根高大的天然柱子 它入口处的石头，我从许多照片中都很熟悉，映入眼帘。在山洞里，Erella 向我展示了骨架的位置 一个小小的尼安德特婴儿是从岩壁的一个壁龛内挖掘出来的。她确信这是一场葬礼。
In September 1999 I had the thrilling experience of visiting Amud Cave in Israel with Erella Hovers, whose excavations during the early 1990s had uncovered the remains of several Neanderthals along with many artefacts and animal bone fragments.35 The cave is found along a dry valley amid quite spectacular scenery. I knew we were getting near when the tall natural pillar of stone at its entrance, familiar to me from many photographs, came into view. At the cave, Erella showed me where the skeleton of a tiny Neanderthal baby had been excavated from within a niche in the rock wall. She was convinced that it had been a burial.
这具骨架是一个十个月大的婴儿，生活在 60， 000 到 50， 000 年前，在学术界广为人知 文学作为 Amud 7.它被发现躺在它的右侧，只有部分保存下来;颅骨被撞碎了， 面部受损严重，无法重建，而长骨、骨盆和肩骨已基本解体。 但椎骨和肋骨保存得更好，手指和脚趾骨在适当的解剖学中被发现 位置。
The skeleton was of a ten-month-old infant that had lived between 60, 000 and 50, 000 years ago, and is known in the academic literature as Amud 7. It was found lying on its right-hand side and was only partially preserved; the cranium was crashed, the face too badly damaged to be reconstructed, while the long bones, pelvis and shoulder bones had largely disintegrated. But the vertebrae and ribs were better preserved, and the finger and toe bones were discovered in their proper anatomical positions.
尼安德特人婴儿的死亡率很高——这从骨骼记录中可以明显看出——这应该不足为奇。但 尽管已经写了很多关于死亡率和埋葬习俗的文章，但尼安德特人婴儿 很少被讨论。这也不足为奇，因为它永远不可能只是一个猜测的问题。 然而，这种推测可以基于理论论点和我前几章中提供的数据 给婴儿唱歌。因此，我相信，我们可以确信，尼安德特人的父母使用了类似音乐的发声、肢体语言、 手势和舞蹈般的动作与他们的婴儿交流，其方式与现代人并无不同，甚至更多 比他们的祖先高度发达。
That Neanderthal infant mortality was high – this is quite evident from the skeletal record – should not be surprising. But though a great deal has been written about the mortality rates and burial practices, the manner in which Neanderthal infants were cared for has rarely been discussed. This, too, is not surprising, for it can never be more than a matter of speculation. However, such speculation can be grounded in the theoretical arguments and the data provided in my previous chapters about singing to infants. Hence we can be confident, I believe, that Neanderthal parents used music-like vocalizations, body language, gestures and dance-like movements to communicate with their infants, in a manner not dissimilar to modern humans and more highly developed than their ancestors.
由于很少有成年人能活到 35 岁以上，祖母的情况很少见，因此母亲必须自己照顾婴儿——或者至少在年长的支持下 后代、他们自己的兄弟姐妹，也许还有他们孩子的父亲。即使有这样的支持，尼安德特人婴儿 注定不仅经常被 “放下”，而且成为孤儿，因此他们可能需要大量的歌唱才能保持 他们很高兴。
With few adults surviving beyond the age of thirty-five, grandmothers would have been rare, and so mothers had to cope with their infants on their own – or at least with the support of their older offspring, their own siblings and, perhaps, the father(s) of their children. Even with such support, Neanderthal infants are bound to have been not only frequently ‘put down’ but also orphaned, and so they may have required a lot of singing to keep them happy.
另一个因素可能使尼安德特人父母在与后代交流方面承受着比现代人更大的压力 人类父母：儿童的发展速度。牙齿生长的显微镜研究表明，尼安德特人儿童 以比现代人更快的速度成长。36 因此，他们获得通信系统的时间相对较短，对他们来说，这意味着学习 大量的整体短语、手势和肢体语言，并逐渐理解情感表达的细微差别。 因此，成人和尼安德特人婴儿之间的“嗯嗯”交流会有溢价，从 他们出生的那一刻。
Another factor may have placed Neanderthal parents under even greater pressure to communicate with their offspring than modern human parents: the children’s rate of development. Microscopic studies of tooth growth have shown that Neanderthal children grew up at a faster rate than those of modern humans.36 Hence they had a relatively shorter time in which to acquire their communication system, which for them meant learning a large number of holistic phrases, gestures and body language, and coming to understand the nuances of emotive expression. Consequently, there would have been a premium on ‘Hmmmmm’ communication between adults and Neanderthal infants, right from the moment of their birth.
尼安德特人埋葬
Neanderthal burial
“嗯嗯”在尼安德特人生命周期的另一端也会普遍存在，但很快就来了。死亡 对尼安德特人成年人的埋葬和哀悼将与儿童一样令人激动。 因为失去一个年轻的单身成年人很容易给整个群体带来灾难。比例相对较高 这些墓葬是年轻男性的墓葬——他们是群体中最强壮的成员，他们本来可以进行大型狩猎 从冷冻尸体中清除它们对于在严冬期间的群体生存可能至关重要。事实上 可能是这些人对整个群体的经济价值促使他们在此之后受到特殊待遇 死亡。
‘Hmmmmm’ would also have been pervasive at the other end of the Neanderthal life cycle, however soon this came. The death of, and burial and mourning for, a Neanderthal adult would have been just as emotional an event as in the case of a child, for the loss of a young, single adult could easily have spelt disaster for the group as a whole. A relatively high proportion of the burials are those of young males – the strongest members of the group, who would have undertaken the big-game hunting and whose scavenging from frozen carcasses may have been essential for group survival during the harsh winter months. Indeed, it may have been the economic value of such individuals to the group as a whole that prompted their special treatment after death.
因此，我们应该设想，在 63， 000 岁时埋葬在 Kebara Cave 的年轻人的坟墓周围也会有同样类型的悲痛 几年前，我们在 350， 000 年前的 Atapuerca 想象。在这两种情况下，社会群体都需要团结在一起 而表达共同的情感可能会导致悲伤的歌声。
We should envisage, therefore, the same type of grieving around the grave of the young man buried in Kebara Cave at 63, 000 years ago that we imagined in Atapuerca at 350, 000 years ago. In both cases, the need for the social group to bond together and express shared emotion is likely to have resulted in mournful song.
然而，我们应该回想一下约翰·布莱金 （John Blacking） 在文达 （Venda） 中的经历，如上一章所述。他指出： 正是在富裕的时期，群体身份是通过公共音乐制作来促进的——这是自私自利的机会 行动很突出。因此，我们可以期待尼安德特人社区的“嗯嗯”音乐制作，而不仅仅是在他们的群体 受到死亡和伤害的挑战，但也在尼安德特人生活的“美好时光”中。
We should recall, however, John Blacking’s experience among the Venda, as described in the previous chapter. He noted that it was at times of plenty that group identity was promoted via communal music-making – times when the opportunities for self-interested action were prominent. Therefore we might expect Neanderthal communal ‘Hmmmmm’ music-making not only when their groups were challenged by death and injury, but also during the ‘good times’ of Neanderthal life.
“嗯嗯”的交流应该涉及类似舞蹈的表演，这可能解释了尼安德特人的一个有趣的特征 考古记录。当尼安德特人居住的洞穴的整个或大部分被挖掘出来时，碎片 他们留下的通常位于非常狭窄的区域。
‘Hmmmmm’ communication would have involved dance-like performance, and this might explain an intriguing feature of the Neanderthal archaeological record. When either the whole or a substantial part of a Neanderthal-occupied cave is excavated, the debris they left behind is typically found in a very restricted area.
保罗·梅拉斯 （Paul Mellars） 是一位剑桥考古学家，对尼安德特人考古学有着特别详细和广泛的了解，他 评论了与法国几个洞穴相关的模式，37 特别是多尔多涅 （Dordogne） 的沃弗雷石窟 （Grotte Vaufrey）、尼斯附近的拉扎雷 （Lazaret） 石窟和朗格多克 （Languedoc） 的 Les Canalettes 石窟 地区。
Paul Mellars, a Cambridge archaeologist with a particularly detailed and extensive knowledge of Neanderthal archaeology, has remarked upon this pattern in relation to several caves in France, 37 in particular the Grotte Vaufrey in the Dordogne, the Grotte du Lazaret, close to Nice, and Les Canalettes in the Languedoc region.
Mellars 为每种情况提供了两种可能的解释：要么 “空 ”区域用于睡眠，要么 洞穴里非常小。当然，还有第三个：那些空白区域被用于表演。一个或多个 尼安德特人可能在打手势、模仿、唱歌或跳舞，而其他蹲在洞壁旁的人则参与其中 在他们的工具制作和其他活动中，或者可能加入这首歌来肯定他们的社会纽带并贡献他们的 自己的信息添加到“嗯嗯”的话题中。
Mellars provides two possible interpretations for each case: either the ‘empty’ areas were used for sleeping, or the groups within the caves had been very small. There is, of course, a third: those empty areas were used for performance. One or more Neanderthals could have been gesturing, miming, singing or dancing, while other individuals squatted by the cave walls engaged in their tool-making and other activities, or perhaps joined in the song to affirm their social bonds and contribute their own information to the ‘Hmmmmm’ conversation piece.
在第 11 章中考虑 Bilzingsleben 的遗址时，我建议用石块和大型 骨骼可能是表演区域。尼安德特人的对应物可能在南部的 Bruniquel 洞穴中被发现 法国。38 从洞穴入口往前走几百米，是一个 5 米 x 4 米的四边形结构，由碎片构成 钟乳石和石笋。该结构内部的烧焦熊骨提供了 47、600 年前的日期，确定了 尼安德特人负责建造它。
When considering the site of Bilzingsleben in chapter 11, I suggested that the spaces demarcated by stone blocks and large bones might have been performance areas. A Neanderthal equivalent may have been found in the cave of Bruniquel in southern France.38 Several hundred metres in from the cave entrance is a 5 metre by 4 metre quadrilateral structure constructed from pieces of stalactite and stalagmite. A burnt bear bone from inside this structure provided a date of 47, 600 years ago, identifying the Neanderthals as having been responsible for its construction.
尼安德特人一定使用点燃的火把或火来建造和利用这种结构，否则它就会 一直处于完全的黑暗中，离洞穴入口太远了。他们用它做什么尚不清楚;结构之外 烧焦的骨头没有其他人类存在的迹象。我猜那是'嗯嗯'唱歌跳舞的场景。 周围的洞壁很有趣，因为没有任何绘画、雕刻或任何形式的标记的痕迹， 即使保存条件很理想。冰河时代洞穴艺术的元老让·克洛茨 （Jean Clottes） 认为这很重要。他有 可能参观的洞穴更多，当然对洞穴壁画的了解也比任何人（在世或已故）都要广泛，并且 他认为 Bruniquel 为绘画提供了理想的墙壁。欧洲的现代人类未能发现这个洞穴;这 尼安德特人显然已经这样做了，克洛特斯认为，缺乏壁画是尼安德特人没有——事实上不可能——从事这项活动的决定性证据。39 元
The Neanderthals must have used lighted torches or fires in order to build and make use of this structure, for it would otherwise have been in total darkness, being so far from the cave entrance. What they used it for is unclear; other than the structure and burnt bones there were no other signs of human presence. My guess is that it was the scene of ‘Hmmmmm’ singing and dancing. The surrounding cave walls are interesting because there are no traces of any paintings, engravings or marks of any kind, even though preservation conditions are ideal. Jean Clottes, the doyen of ice-age cave art, finds this significant. He has probably visited more caves, and certainly has a more extensive knowledge of cave painting, than anyone (alive or dead) and he believes that Bruniquel provided ideal walls for painting. The modern humans of Europe failed to discover the cave; the Neanderthals had evidently done so, and Clottes believes that the lack of wall painting is conclusive proof that the Neanderthals did not – indeed, could not – engage in this activity.39
（可能）不是的长笛
The flute that (probably) isn’t
人们不需要去过 Bruniquel 洞穴，或任何曾经被尼安德特人占据的洞穴，就可以欣赏到他们的歌声 舞蹈会在墙壁周围回荡和回荡。我怀疑尼安德特人会利用这一特性 洞穴，以及火光投射在洞壁上的阴影，使他们的歌舞更加精彩 戏剧性的。他们也可能用指甲弹动石笋，发出高亢的铃声，敲打骨头 将燧石刀片敲在一起，吹穿牛角和贝壳，敲打猛犸象的头骨。所有这些都不会 留下了表明音乐创作的考古痕迹。事实上，许多制造的乐器都是如此 由现代狩猎采集者使用，他们主要使用迅速腐烂或最低限度改性的皮肤和植物材料 如果在考古遗址中发现，则不太可能被解释为乐器的骨头和贝壳。
One need not have been to Bruniquel Cave, or any cave once occupied by Neanderthals, in order to appreciate that their singing and dancing would have echoed and reverberated around the walls. I suspect that Neanderthals would have exploited this property of caves, along with the shadows thrown up against the cave walls by the firelight, to make their singing and dancing more dramatic. They may also have flicked stalagmites with their fingernails to make a high-pitched ringing sound, banged bones and chimed flint blades together, blown through horns and shells, and drummed upon mammoth skulls. None of this would have left an archaeological trace indicative of music-making. Indeed, this is true for many of the musical instruments manufactured by modern hunter-gatherers, which mainly use either skins and vegetable materials that rapidly decay, or minimally modified bones and shells that are unlikely to be interpreted as musical instruments if found on an archaeological site.
虽然缺乏证据，但我认为难以想象尼安德特人没有补充他们自己的声音，手 使用自然物体拍手、拍打大腿和跺脚。但是他们是否故意修改了这些对象 增强它们固有的音乐特性更具争议性。我相信尼安德特人的“特定领域”心态 被附身会对他们故意改变自然材料的能力施加相当大的限制。要转动，比如说，一个 将骨头放入长笛中需要尼安德特人从自然历史领域中取出一个物体并对其进行修改 用于社交领域，需要相当程度的认知流动性。我怀疑，他们的一般情报会 已经足以使使用未经修改的棍子来敲打地面上的节奏，但不能改变骨骼 变成长笛——那将是认知上的一步太过分了。所以我自然而然地担心我的理论的真实性，当 1996 年，尼安德特人骨笛的发布广为人知。
Although the evidence is lacking, it is inconceivable to me that the Neanderthals did not supplement their own voices, hand clapping, thigh slapping, and feet stamping with the use of natural objects. But whether they deliberately modified such objects to enhance their inherent musical properties is more contentious. The ‘domain-specific’ mentality that I believe Neanderthals possessed would have imposed considerable limits on their ability deliberately to alter natural materials. To turn, say, a piece of bone into a flute would have required a Neanderthal to take an object from the natural history realm and modify it for use in the social realm, demanding a significant degree of cognitive fluidity. Their general intelligence would, I suspect, have been sufficient to enable the use of an unmodified stick to beat out rhythms on the ground, but not to transform a bone into a flute – that would have been a cognitive step too far. So I was naturally concerned for the veracity of my theory when there was a highly publicized announcement of a Neanderthal bone flute in 1996.
斯洛文尼亚科学与艺术学院的伊万·特克 （Ivan Turk） 在 1996 年的挖掘中在斯洛文尼亚的 Divje Babe 洞穴中发现了这支“长笛”。40 客观地说，“笛子”是一头一到两岁熊的大腿骨碎片，长 11.36 厘米。它被刺穿 由两个完整的圆孔组成，而骨骼的两端以某种方式碎裂，表明可能有额外的孔 一直在场。它是在可追溯到 50， 000 至 35， 000 年前的一层洞穴沉积物中发现的，接近土耳其人 描述为壁炉，并且只能由尼安德特人制造。毫不奇怪，记者们将这一发现视为决定性的 尼安德特人制造乐器的证据;“长笛”在受到学术界的批评之前就登上了《纽约时报》的封面——它成为并将永远成为“媒体事实”。
Ivan Turk of the Slovene Academy of Sciences and Arts found the ‘flute’ in Divje Babe Cave, in Slovenia, during his 1996 excavations.40 Objectively, the ‘flute’ is an 11.36 centimetre-long fragment of thigh bone from a one-to two-year-old bear. It is pierced by two complete circular holes, while both ends of the bone are fragmented in a manner that suggest additional holes may have been present. It was found in a layer of cave deposits that date to between 50, 000 and 35, 000 years ago, close to what Turk describes as a hearth, and could only have been made by Neanderthals. Not surprisingly, journalists leapt on the find as conclusive proof that Neanderthals made musical instruments; the ‘flute’ was featured on the cover of the New York Times before it had been subject to critical evaluation by academics – it became, and will for ever remain, a ‘media fact’.
图 15Divje Babe I “长笛”，长 114 毫米。
Figure 15 The Divje Babe I ‘flute’, arolund 114 millimetres long.
是长笛吗？Ivan Turk 和他的同事们相信这一点，并发表了一份关于其音乐品质的广泛研究，得出 从复制品的播放中。其他人则不太确定。弗朗切斯科·德埃里科 （Francesco D'Errico） 指出，洞穴内的骨头几乎属于 完全是洞穴熊，似乎来自死在巢穴中的熊的自然积累。他还提供了 几个来自类似自然堆积物的骨头的例子，这些骨头被食肉动物咀嚼，几乎留下了圆孔 与 Divje Babe 骨骼上的相同。41 D'Errico 将这些和“长笛”提交给了一项显微镜研究。围绕 这些洞证实了它们是由食肉动物的犬科动物而不是石器造成的，那样会留下相当的痕迹 不同的跟踪。此外，在紧邻孔的骨头表面有明显的牙齿印记，显示 骨头是如何被食肉动物的嘴巴夹住的。42 至于造成哪种食肉动物，D'Errico 认为它本身很可能是一只洞熊。
Is it a flute? Ivan Turk and his colleagues believe so and have published an extensive study of its musical qualities, derived from the playing of replicas. Others are not so sure. Francesco D’Errico noted that the bones within the cave belonged almost entirely to cave bears and appear to have come from a natural accumulation of bears which died in their dens. He also provided several examples of bones from similar natural accumulations that had been chewed by carnivores, leaving circular holes almost identical to those on the Divje Babe bone.41 D’Errico submitted these and the ‘flute’ to a microscopic study. Telltale microscopic pittings and scorings surrounding the holes confirmed that they had been made by the canines of carnivores rather than by stone tools, which would have left quite different traces. Moreover, there were clear tooth impressions on the face of the bone immediately opposite the holes, showing how the bone had been gripped within carnivore jaws.42 As to the type of carnivore responsible, D’Errico suggests that it was likely to have been a cave bear itself.
“长笛”在斯洛文尼亚国家博物馆展出。我在 2004 年 11 月去看了它，并与 Peter 讨论了 特克，博物馆馆长（与挖掘 Divje Babe 的伊万·特克没有关系），它是否真的是一支长笛。看起来确实如此 像笛子;彼得对弗朗切斯科的许多批评提出了质疑，认为它可以在被咀嚼之后被咀嚼 丢失或丢弃。但我并不相信，并得出结论，这块骨头与长笛的相似只是偶然的。所以 我们缺乏任何证据表明尼安德特人制造了乐器。我自己的理论观点表明，他们是 不太可能能够做到这一点，尽管我怀疑未经修改的棍子、贝壳、石头和皮肤可能起到了一些作用 在他们的音乐创作中扮演的角色。
The ‘flute’ is on display in the National Museum in Slovenia. I went to see it in November 2004, and discussed with Peter Turk, the museum curator (no relation to Ivan Turk who excavated Divje Babe), whether it really is a flute. It certainly looked like a flute; and Peter challenged many of Francesco’s criticisms, arguing that it could have been chewed after having been lost or discarded. But I wasn’t convinced, and concluded that the bone’s resemblance to a flute is simply one of chance. So we lack any evidence that the Neanderthals manufactured musical instruments. My own theoretical views suggest that they were unlikely to have been able to do so, although I suspect that unmodified sticks, shells, stones and skins may have played some role in their music-making.
摘要：与尼安德特人同行
Summary: walking with a Neanderthal
由于我们想象力的限制，试图理解尼安德特人的 “嗯嗯 ”世界是具有挑战性的。 所涉及的不可避免的猜测，以及这些猜测必须基于的有限证据。此外，我相信所有现代的 与尼安德特人相比，人类的音乐能力相对有限。这部分是因为尼安德特人 进化出的神经网络是为了“Hmmmmm”的音乐特征，而这些特征并没有在智人谱系中进化，部分原因是语言的进化抑制了从共同祖先那里继承的音乐能力 我们与尼安德特人共享。
Trying to understand the ‘Hmmmmm’-ing world of a Neanderthal is challenging, owing to the limitations of our imaginations, the inevitable speculation involved, and the restricted evidence on which these speculations must be based. Also, I believe that all modern humans are relatively limited in their musical abilities when compared with the Neanderthals. This is partly because the Neanderthals evolved neural networks for the musical features of ‘Hmmmmm’ that did not evolve in the Homo sapiens lineage, and partly because the evolution of language has inhibited the musical abilities inherited from the common ancestor that we share with Homo neanderthalensis.
然而，偶尔我们会有一种强烈的音乐体验，它可能会捕捉到一些常见的丰富性 尼安德特人 – 也许是一首我们觉得其旋律和节奏特别感人或鼓舞人心的歌曲。我自己的一次经历 是在看我的第一部芭蕾舞剧时，我突然意识到人体如何既能表达情感又能讲述 一个贯穿其运动的故事。我们把芭蕾舞演员放在舞台上，很少有人一年看他们超过一次;尼安德特人 每天在他们的洞穴里用火光观看他们的冰河时代舞蹈。
Occasionally, however, we have an intense musical experience that may capture some of the richness that was commonplace to the Neanderthals – perhaps a song whose melodies and rhythms we find particularly moving or inspiring. One of my own experiences was when watching my first ballet, when I was suddenly made aware of how the human body can both express emotion and tell a story through its movement. We place ballerinas on a stage and very few of us watch them more than once a year; the Neanderthals watched their ice-age dancing equivalents on a daily basis by firelight within their caves.
其他经历也可能提醒我们对周围类似音乐的声音有多么“不敏感”。所以，结束这一章 我想再引用一次他的老师是如何描述她与埃迪一起散步的，埃迪是我们在章节中遇到的音乐专家 3:
Other experiences might also remind us how ‘desensitized’ we are to the music-like sounds around us. And so, to end this chapter I would like to quote for a second time how his teacher described her walk with Eddie, the musical savant we met in chapter 3:
我发现与 Eddie 一起散步是一次穿越声音全景的旅程。他用手沿着金属门滑行，听见嘎嘎声; 他敲打每根灯柱，如果音调好，他就说出音高;他停下来听到汽车音响;他望向天空 跟踪飞机和直升机;他模仿鸟儿的鸣叫;他指着街上隆隆作响的卡车......如果 它是听觉上的，Eddie 对它很敏感，通过听觉，他对更多的事情保持警觉。
I found that a walk with Eddie is a journey through a panorama of sounds. He runs his hand along metal gates to hear the rattle; he bangs on every lamp post and names the pitch if it has good tone; he stops to hear a car stereo; he looks into the sky to track airplanes and helicopters; he imitates the birds chirping; he points out the trucks rumbling down the street … If it is aural Eddie is alert to it, and through the aural he is alert to so much more.
当他进行这次散步时，Eddie 已经发展了一些几乎完全不存在的语言技能 在他的整个早年。在这方面，他与尼安德特人有一些基本的相似之处——语言上受到挑战 但在音乐上很先进。因此，我们也许可以使用这句话来帮助我们想象尼安德特人会听到什么，以及他是如何听到的 或者她会在穿过冰河时代的风景时做出回应。这将是另一个声音全景：这 大自然的旋律和节奏，由于语言的进化，它们在智人的耳朵里已经变得闷闷不乐。
By the time he undertook this walk, Eddie had developed some language skills, which had been almost entirely non-existent throughout his early years. In this regard, he shared some fundamental similarities with a Neanderthal – linguistically challenged but musically advanced. So we can perhaps use this quote to help us imagine what a Neanderthal would have heard, and how he or she would have responded, when walking through the ice-age landscape. It would have been another panorama of sounds: the melodies and rhythms of nature, which have become muffled to the Homo sapiens ear by the evolution of language.
16 语言的起源
16 The origin of language
智人的起源和“嗯嗯”的分割
The origin of Homo sapiens and the segmentation of ‘Hmmmmm’
Nina Simone 演唱“Feeling Good”：Blombos Cave 的智人，戴着贝壳珠子，画着自己的身体，感觉很好
Nina Simone singing ‘Feeling Good’: Homo sapiens at Blombos Cave, wearing shell beads, painting their bodies and feeling good
当尼安德特人在欧洲狩猎和“Hrnmmmm”时，人属的另一个谱系正在非洲进化，它在大约 200， 000 年前产生了智人。这是当今地球上唯一活着的 Homo 物种;在其短暂的存在中，智人已经从狩猎采集者的生活变成了城市银行家的生活，从殖民欧洲到探索其他星球， 从不到一万的人口减少到六十多亿的人口。大多数人类学家将 智人在语言方面取得了非凡的成功，他们认为这种能力在智人属的所有其他成员中都是不存在的。
While the Neanderthals were hunting and ‘Hrnmmmm’-ing in Europe, another lineage of the Homo genus was evolving in Africa, that which produced Homo sapiens at around 200, 000 years ago. This is the only species of Homo alive on the planet today; within its brief existence Homo sapiens has gone from living as a hunter-gatherer to living as a city banker, from colonizing Europe to exploring other planets, and from a population of less than ten thousand individuals to one of more than six billion. Most anthropologists attribute the remarkable success of Homo sapiens to language, a capacity they believe was absent from all other members of the Homo genus.
从我前面的章节中可以明显看出，我认为它们是正确的。本章将描述 来自“嗯嗯”的语言，以及它对人类思想和行为的深远影响。我们必须从智人的起源开始。
As will have been evident from my previous chapters, I think they are correct. This chapter will describe the emergence of language from ‘Hmmmmm’, and its profound consequences for human thought and behaviour. We must begin with the origin of Homo sapiens.
智人的进化
The evolution of Homo sapiens
任何关于现代人类起源的说法都必须是临时的，因为新的化石和新的证据可能会 将改变我们目前的理解。过去十年出版的许多书籍都有局限性 保质期，因为新发现很快就使它们过时了。然而，人们越来越意识到，最 最近关于智人起源的照片可能会持续下去，因为化石和遗传证据现在已经在同一天汇合。
Any statement about the origin of modern humans must be provisional, owing to the possibility that new fossils and new evidence from human genetics will change our current understanding. Many books published during the last decade have had a limited shelf-life because new discoveries have so quickly made them out of date. There is, however, a growing sense that the most recent picture of Homo sapiens origins may endure, because the fossil and genetic evidence have now converged on the same date.
2003 年，顶级科学杂志《自然》的版面揭示了一个重要的化石发现：在埃塞俄比亚赫尔托发现的三个部分头骨，其历史可以追溯到 160， 000 至 154， 000 年前。1 这是在加利福尼亚大学蒂姆·怀特 （Tim White） 领导的美国和埃塞俄比亚人类学家团队六年后， 伯克利，实际上是在一系列破碎的碎片中发现了头骨。团队花了三年时间进行清理和 精心重新组装头骨，再花三年时间与来自世界各地的其他 6000 个头骨进行全面分析和比较，为宣布做准备——这不会是什么事情 弄错了！
In 2003 a key fossil discovery was revealed in the pages of the premier scientific journal Nature: three partial skulls discovered in Herto, Ethiopia, dating to between 160, 000 and 154, 000 years ago.1 This was six years after a team of American and Ethiopian anthropologists, led by Tim White of the University of California, Berkeley, had actually found the skulls in a series of shattered fragments. It took three years for the team to clean and reassemble the skulls meticulously, and another three years to make a full analysis and comparison with six thousand other skulls from around the world, in preparation for the announcement – it would not be something to get wrong!
图 16来自埃塞俄比亚中阿瓦什的智人成年头盖骨，可追溯到 160,000 至 154,000 年前。
Figure 16 Adult cranium of Homo sapiens from Middle Awash, Ethiopia, dating to between 160,000 and 154,000 years ago.
怀特和他的同事发现了两名男子和一名儿童的部分头骨。最完整的具有特征 智人，包括平坦的脸、分裂的眉脊和 1450 立方厘米的颅骨容量——略高于现代 人类平均。它还具有一些“原始”特征，将其与更古老的非洲化石——Homo ergaster 的化石——联系起来，例如突出的眉毛。怀特和他的同事决定将这些新化石描述为 Homo sapiens idaltu——这个姓氏是当地阿法尔语中“长老”的意思。最后一个术语似乎完全没有必要，因为 古人类学家普遍认为，这些头骨属于智人，是我们物种最早的化石遗骸之一。
White and his colleagues had found the partial skulls of two men and a child. The most complete had the characteristic features of Homo sapiens, including a flat face, divided brow ridges and a cranial capacity of 1450 cubic centimetres – slightly above the modern human average. It also had some ‘primitive’ features linking it to more ancient African fossils – those of Homo ergaster – such as protruding brows. White and his colleagues decided to describe the new fossils as Homo sapiens idaltu – the last name being the word for ‘elder’ in the local Afar language. That last term seems quite unnecessary, for there has been widespread agreement among palaeoanthropologists that the skulls belong to Homo sapiens and provide one of the earliest fossil remains of our species.
事实上，赫尔托化石首次发表时，是我们物种中已知最古老的标本。但在 2005 年初，这种区别 去了另外两个同样来自埃塞俄比亚的颅骨化石，它们早在 1967 年就被挖掘出来了。这些被称为 Omo I 和 Omo II 标本，最初由 Richard Leakey 发现，以前被认为已有 130， 000 年的历史。应用 一种基于氩放射性衰变的新测年技术将其年龄修正为 195， 000 年前。阿拉伯数字
When first published, the Herto fossils were, in fact, the oldest known specimens of our species. But early in 2005 that distinction went to two other fossil crania, also from Ethiopia, which had been excavated as long ago as 1967. These are known as the Omo I and Omo II specimens, originally discovered by Richard Leakey and previously thought to be 130, 000 years old. The application of a new dating technique based on the radioactive decay of argon revised their age to 195, 000 years ago.2
Herto 和 Omo 的发现是一组来自非洲的化石的一部分，这些化石属于 500， 000 至 100， 000 年前， 其中一些被指定为 Homo helmei，3 罗伯特·弗利 （Robert Foley） 和玛尔塔·拉尔 （Marta Lahr） 认为该物种是尼安德特人和现代人的共同祖先。根据古人类学家 Sally McBrearty 和 Alison Brooks 的说法，非洲 Homo helmei 标本具有智人和早期物种的特征，包括 Homo rudolfensis 和 Homo ergaster，其历史可以追溯到 200 万年前。Herto 的新发现和 Omo 标本的重新测年表明，一些 较新的 Homo helmei 标本应重新归类为 Homo sapiens，并认识到相当大的形态多样性。另一种观点是，几种不同的人可能在 500， 000 到 100， 000 年前生活，其中只有一种存活到现代。
The Herto and Omo finds are part of a group of fossils from Africa that belong at between 500, 000 and 100, 000 years ago, some of which have been designated as Homo helmei, 3 the species that Robert Foley and Marta Lahr believe is the common ancestor of the Neanderthals and modern humans. According to the palaeoanthropologists Sally McBrearty and Alison Brooks, the African Homo helmei specimens have characteristics of both Homo sapiens and earlier species, including Homo rudolfensis and Homo ergaster, dating back to 2 million years ago. The new finds from Herto and the redating of the Omo specimens suggest that some of the more recent Homo helmei specimens should be reclassified as Homo sapiens with the recognition of considerable morphological diversity. An alternative view is that several different species of Homo might have been alive at between 500, 000 and 100, 000 years ago, just one of which has survived into the modern day.
虽然存在这种意见分歧，但古人类学家一致认为非洲化石 记录显示，从 200 多万年前最早的大脑大小约为 650 立方厘米的智人逐渐进化为大脑大小约为 1500 立方厘米且情商为 5.3 的智人。通过显示这种持续变化的模式， 化石记录与欧洲截然不同，欧洲的尼安德特人和现代人形成了鲜明的对比 表明后者是新来的大陆。
While such differences of opinion exist, there is unanimous agreement among palaeoanthropologists that the African fossil record shows a gradual evolution from the earliest Homo at more than 2 million years ago with a brain size of around 650 cubic centimetres, to Homo sapiens with a brain size of around 1500 cubic centimetres and an EQ of 5.3. By showing such a pattern of continuous change, the fossil record is quite different from that of Europe, where the striking contrasts between the Neanderthals and modern humans indicate that the latter were new arrivals in the continent.
在 Herto 发现和 Omo redating 之前，非洲最早的智人化石标本来自南非的 Klasies 河口，其历史可以追溯到大约 100， 000 年前。4 然而，众所周知，智人的起源必须追溯到更久远的时期。在 1987 年发表一篇开创性的《自然》文章后，遗传学家一直在比较世界各地不同人群的现代人类的 DNA 来估计我们物种首次出现的日期。由于基因突变出现的频率有规律， 他们可以通过测量来自不同人群的个体之间的遗传差异程度来做到这一点。5
Prior to the Herto finds and the Omo redating, the earliest fossil specimens of Homo sapiens in Africa came from Klasies River Mouth, South Africa, dating to around 100, 000 years ago.4 It was known, however, that the origins of Homo sapiens must be much further back in time. Following the publication of a seminal Nature article in 1987, geneticists have been comparing the DNA of modern-day humans from different populations throughout the world to estimate the date at which our species first appeared. Because of the regular frequency at which genetic mutations arise, they can do this by measuring the extent of genetic difference between individuals from different populations.5
技术细节对于非专业人士来说具有挑战性，但这种人类进化的遗传方法已经产生了革命性的影响 冲击。它已经证明，所有现代人都起源于非洲，而尼安德特人是进化的死胡同。6 不同的研究团队和不同的方法为精确的起源点提供了一套不同的日期 智人，尽管自 1987 年以来，这些化石标本一直比 Klasies 河口的化石标本古老。
The technical details are challenging to a non-specialist, but this genetic approach to human evolution has had a revolutionary impact. It has demonstrated that all modern humans had a single origin in Africa and that Homo neanderthalensis was an evolutionary dead-end.6 Different teams of researchers and different methods have provided a suite of different dates for the precise point of origin of Homo sapiens, although since 1987 these have been consistently older than the fossil specimens from Klasies River Mouth.
2000 年，乌普萨拉大学的 Max Ingman 和他的同事在《自然》杂志上发表了一项新的遗传研究。这使用了最先进的技术来比较 来自世界各地不同人群的 53 个个体的线粒体 DNA，并得出结论，他们有 最近在 170， 000 年前（正负 50， 000 年）共享一个共同的祖先。7 三年后，同一期刊宣布发现了赫尔托头骨，几乎在同一天，不久之后，奥莫标本的重新确定日期。
In 2000, a new genetic study was published in Nature, conducted by Max Ingman, from the University of Uppsala, and his colleagues. This used the most advanced techniques to compare the mitochondrial DNA of fifty-three individuals from diverse populations throughout the world, and concluded that they had most recently shared a common ancestor at 170, 000 years ago (plus or minus 50, 000 years).7 Three years later the same journal announced the discovery of the Herto skulls, at close to the same date, and shortly afterwards, the redating of the Omo specimens.
语言基因的进化
The evolution of a language gene
由于语言能力是智人的生物属性，嵌入我们物种的基因组中，我们应该得出结论，它也在 170， 000 年前进化了。另一个 最近的基因研究为此提供了支持证据，尽管其结果比关于智人本身的结果更具争议性。
As the capacity for language is a biological attribute of Homo sapiens, something embedded in the genome of our species, one should conclude that it had also evolved by 170, 000 years ago. Another recent genetic study provides supporting evidence for this, although its results are more contentious than those concerning Homo sapiens itself.
该研究涉及一个大型的、多代的现代家庭，称为 KE。8 这个家庭的一些成员在 1990 年代接受研究，在语法的一些非常具体的方面有问题， 包括使用变形来标记时态。例如，他们很难判断“男孩们踢足球 yesterday' 在语法上是正确的，而 'the boys play football yesterday' 则不是。
The study concerned a large, multigenerational modern family, referred to as the KEs.8 Some members of this family, who were studied during the 1990s, had problems with some very specific aspects of grammar, including the use of inflections for marking tense. They had difficulty, for instance, in judging that ‘the boys played football yesterday’ is grammatically correct whereas ‘the boys play football yesterday’ is not.
KE 家族中受影响的成员在其他任务上也表现出困难，尤其是在产生精细的口面部运动方面 舌头和嘴唇，这使他们的一些言语难以理解。鉴于他们的多重问题，语言学家们 争论 KE 的语言困难是由于一般的认知缺陷还是由于他们所特有的 语言系统。后者似乎最有可能，因为非语言问题似乎不够严重，并且与 证明 KE 患有智力低下或记忆力差等影响了他们的语言的说法是合理的 能力。
The afflicted members of the KE family also displayed difficulties with other tasks, notably in producing fine orofacial movements of the tongue and lips, which made some of their speech unintelligible. In view of their multiple problems, linguists have debated whether the KEs’ language difficulties derive from a general cognitive deficit or from something specific to their language system. The latter seems most likely, as the non-language problems appear insufficiently severe and consistent to justify the claims that the KEs suffer from, say, low intelligence or a poor memory which has then impacted on their language abilities.
2001 年，遗传学家确定了特定基因，该基因的功能障碍影响了大约 KE 家族的一半。9 它被称为 FOXP2 基因，似乎在打开和关闭其他基因方面发挥着至关重要的作用，其中一些基因至关重要 用于大脑中语言神经回路的开发。令人惊讶的是，FOXP2 基因并不是人类独有的;它 在众多物种中以几乎相同的形式被发现。事实上，这七种差异只有三种 在小鼠和人类中形成 FOXP2 基因的 10 个氨基酸。这三个差异似乎至关重要，因为 KE 家族向我们表明，当人类版本的 FOXP2 基因出现故障时，会出现严重的语言缺陷。
In 2001 geneticists identified the specific gene the malfunctioning of which had affected approximately half of the KE family.9 It is known as the FOXP2 gene and appears to play a crucial role in turning other genes on and off, some of which are vital for the development of neural circuits for language in the brain. Surprisingly, the FOXP2 gene is not unique to humans; it is found in an almost identical form among a great many species. Indeed, there are only three differences between the seven hundred amino acids that form the FOXP2 gene in mice and in humans. Those three differences appear to be vital, because the KE family shows us that when the human version of the FOXP2 gene malfunctions, significant language deficits arise.
虽然这个基因的发现及其对语言的意义是一个引人注目的事件，但一个更引人注目的发现是 次年制造。另一个遗传学家团队，由马克斯·普朗克进化研究所的沃尔夫冈·恩纳德 （Wolfgang Enard） 领导 莱比锡的人类学研究了黑猩猩、大猩猩和猴子版本的 FOXP2 基因，发现它只是 两种氨基酸与我们自己的氨基酸不同。10 他们提出，导致该基因的智人版本的两个氨基酸变化对言语和语言都至关重要。他们对该基因的现代人类形式何时在人群中变得固定的估计 （通过随机突变后的自然选择过程）引用他们在《自然》中的话来说，“在人类历史的最后 200， 000 年中，即与解剖学 现代人类”。11
While the discovery of this gene and its significance for language was a striking event, an even more remarkable finding was made in the following year. Another team of geneticists, led by Wolfgang Enard of the Max Planck Institute for Evolutionary Anthropology in Leipzig, examined the chimpanzee, gorilla and monkey versions of the FOXP2 gene, and found that it was only two amino acids different from our own.10 They proposed that the two amino acid changes that led to the Homo sapiens version of the gene were critical to both speech and language. Their estimate for when the modern human form of the gene became fixed in the population (by the process of natural selection following a random mutation) is, to quote their words from Nature, ‘during the last 200, 000 years of human history, that is, concomitant with or subsequent to the emergence of anatomically modern humans’.11
FOXP2 不是语法的基因，更不用说语言了。提供语言能力必须涉及很多基因，很多 其中可能在个人的发展中发挥多种作用。尽管如此，KE 家族的研究 FOXP2 基因为人类语言的遗传基础提供了令人信服的证据，这可能是 智人的起源大约在 200， 000 年前。那么，我们能否从考古记录中找到语言介导行为的证据 在非洲——欧洲的尼安德特人如此明显地缺乏的证据？
FOXP2 is not the gene for grammar, let alone language. There must be a great many genes involved in providing the capacity for language, many of which are likely to play multiple roles in the development of an individual. Nevertheless, the studies of the KE family and the FOXP2 gene provide compelling evidence for a genetic basis to human language, which may have been integral to the origin of Homo sapiens at around 200, 000 years ago. Can we, then, find evidence from the archaeological record for language-mediated behaviour in Africa at this date – evidence that is so strikingly absent from the Neanderthals in Europe?
符号行为的起源
The origin of symbolic behaviour
非洲已知最早的代表性艺术由纳米比亚阿波罗 11 号洞穴的彩绘板组成。12 这些雕像既有真实动物的形象，也有虚构的动物形象，可能曾经是洞壁的一部分，也可能一直都是 “便携式”板。他们的年龄是有争议的。对发现它们的考古层进行放射性碳测年，可以得出 一个不早于 28， 000 年前的日期。但石板上方层的鸵鸟蛋壳碎片已被确定为 59， 000 年前，这与在石板上发现的碎石文物类型更吻合。所以放射性碳 椰枣可能已被较新的材料污染。
The earliest known representational art from, Africa consists of painted slabs from the Apollo 11 Cave in Namibia.12 These bear images of both real and imaginary animals, and may have once been part of the cave wall or were perhaps always ‘portable’ slabs. Their age is contentious. Radiocarbon dating of the archaeological layer in which they were found gives a date no older than 28, 000 years ago. But fragments of ostrich eggshell from the layer above the slabs have been dated to 59, 000 years ago, which agrees better with the types of chipped-stone artefacts found with the slabs. So the radiocarbon dates may have been contaminated with more recent material.
即使蛋壳年代是正确的，这也很难与 200， 000 年前的语言起源日期相容 – 如果我们假设组合语言所需的指涉象征能力也会显现出来 以视觉形式。鉴于切割的赭石碎片的到来，这种能力肯定可以推回到 70， 000 年前 来自南非的 Blombos Cave。这个洞穴位于南非的南端，海拔 35 米 多岩石的海岸线。南非博物馆的克里斯托弗·亨希尔伍德 （Christopher Henshilwood） 于 1991 年开始发掘。几年之内，他 已经表明 Blombos 洞穴是目前已知的最重要的考古遗址，有助于了解现代 思想和行为——以及言外之意的语言。13
Even if the eggshell dates are correct, this is hardly compatible with a date of 200, 000 years ago for the origin of language – if we assume that the capacity for referential symbolism required for compositional language would have also been manifest in visual form. That capacity can certainly be pushed back to 70, 000 years ago in the light of incised ochre fragments coming from Blombos Cave in South Africa. This cave is located at the southern tip of South Africa, 35 metres above sea level on a rocky coastline. Christopher Henshilwood of the South African Museum initiated excavations in 1991. Within a few years he had shown Blombos Cave to be the most important currently known archaeological site for understanding the origin of modern thought and behaviour – and, by implication, language.13
两个最引人注目的标本是 Henshilwood 描述为“页岩状赭石”的矩形小块;两者都是 只有几厘米长，并标有类似的交叉阴影设计。这些模式与上面的模式大不相同 来自 Bilzingsleben 等欧洲遗址的划痕骨块;他们有足够的命令来排除他们偶然出现的任何风险。此外，由于 设计在两个独立的人工制品上重复，印象是一个象征性的代码。
The two most striking specimens are small rectangular pieces of what Henshilwood describes as ‘shale-like ochre’; both are just a few centimetres long and marked with similar cross-hatched designs. The patterns are quite different from those on the scratched pieces of bone from European sites such as Bilzingsleben; they are sufficiently ordered to rule out any risk that they arose by chance. Moreover, as the same design is repeated on two separate artefacts, the impression is of a symbolic code.
图 17来自 Blombos 洞穴的赭色页岩切割板，其历史可以追溯到大约 70,000 年前。这是样本 SAM-AA 8938， 尺寸为 75.8 毫米长、34.8 毫米宽和 4.7 毫米厚。
Figure 17 Incised slab of ochreous shale from Blombos Cave, dating to around 70,000 years ago. This is specimen SAM-AA 8938, measuring 75.8 millimetres long, 34.8 millimetres wide and 4.7 millimetres thick.
来自 Blombos 洞穴的 70， 000 年历史的雕刻是我们从考古记录中获得的最早的明确符号， 不仅在非洲，而且在全世界。它们与其他 8000 多块赭石一起被发现，其中许多是 有使用痕迹，可能用于人体彩绘或装饰有机材料的物品 没有被保存下来。此外，Henshilwood 在 Blombos 洞穴中发现了贝壳珠，这很可能是 在 70， 000 年前佩戴时具有象征意义。14 但是，这个日期可能比人类语言的起源晚了十万多年。也是 非洲还有其他早期象征主义的迹象吗？
The 70, 000-year-old engravings from Blombos Cave are the earliest unequivocal symbols we have from the archaeological record, not only in Africa, but from the whole world. They were found with more than eight thousand other pieces of ochre, many of which bear signs of utilization and were probably used for body painting or for decorating items of organic material that have not been preserved. In addition, Henshilwood has found shell beads in Blombos Cave which are likely to have been attributed with symbolic meanings when worn 70, 000 years ago.14 But that date is still potentially more than one hundred thousand years after a likely origin for human language. So are there any other signs of early symbolism in Africa?
在回答这个问题之前，我们必须注意到，我们对非洲 200 年关键时期考古记录的了解， 000 到 50， 000 年前远不如欧洲，那里有数百个尼安德特人遗址被精心打造 挖掘。在整个非洲，同样深入探索的遗址屈指可数。因此，虽然 对于欧洲，我们可以确信尼安德特人没有制造物质符号，我们必须对早期更加谨慎 非洲的人类;对于那个大陆，考古学格言必须适用：“没有证据不是不存在的证据”。 事实上，关键证据可能仍然存在于尚未发掘的 Blombos 洞穴地层中。此外，还有令人信服的间接证据 有证据表明，到 100， 000 年前，如果不是更早的话，早期的智人已经制造和使用符号。
Before answering that, we must note that our knowledge of the archaeological record in Africa for the crucial period of 200, 000 to 50, 000 years ago is far inferior to that of Europe, where many hundreds of Neanderthal sites have been meticulously excavated. There are no more than a handful of equally well-explored sites throughout the whole of Africa. Consequently, while for Europe we can be confident that the Neanderthals did not manufacture material symbols, we must be more cautious for Early Humans in Africa; for that continent the archaeological aphorism must apply: ‘the absence of evidence is not evidence of absence’. Indeed, crucial evidence may remain in the as yet unexcavated layers of Blombos Cave. Moreover, there is compelling circumstantial evidence that by 100, 000 years ago, if not before, early Homo sapiens were making and using symbols.
这来自至少 125， 000 年前在考古沉积物中发现的大量红赭石。更多 超过 180 件来自南非开普海岸的 Klasies 河口洞穴。15 挖掘机将一些碎片描述为“铅笔”，而另一些则明显被划伤以去除颜料粉末。 类似的发现也来自南非的边境洞穴，其中还埋葬了一个智人婴儿，最有可能的日期是大约 100， 000 年前。骨头被赭石弄脏了， 并与一个穿孔的贝壳一起被发现，据信这是一个吊坠。在南非的弗洛里斯巴德遗址， 可能用于赭石的研磨板可以追溯到 120， 000 年前。
This comes from the large quantities of red ochre found within archaeological deposits from at least 125, 000 years ago. More than one hundred and eighty pieces have come from Klasies River Mouth Cave on the Cape Coast of South Africa.15 The excavators have described some pieces as ‘pencils’, while others have clearly been scratched to remove pigment powder. Similar finds have come from Border Cave, again in South Africa, which also contains the burial of a Homo sapiens infant for which the most likely date is around 100, 000 years ago. The bones had been stained by the application of ochre, and were found along with a pierced shell that is believed to have been a pendant. And at the South African site of Florisbad, grinding slabs that were probably used for ochre have been dated to 120, 000 years ago.
由于在阿波罗 11 号洞穴之前没有装饰的洞壁或文物，考古学家认为早期的 赭石用于身体装饰 - 史前化妆品。这是否应该被定义为象征性是有争议的：红色 油漆可能只是用来引起人们对身体选定部位的注意或夸大其词，例如嘴唇、臀部 和乳房，因此本身缺乏象征意义。相反，人体彩绘本身可能涉及 syrnbols， 可能与 Blombos 洞穴的两块赭石碎片上发现的碎片相似;我们必须记住，这两个 在 8000 多件赭石中发现了象征性的文物。因此，没有刻痕 富含赭石的 Klasies 河口、边境洞穴和其他可追溯到 100， 000 年前及更早的遗址可能意味着 它们被遗漏了，或者保存得很差。16
Since there are no decorated cave walls or artefacts prior to those of Apollo 11 Cave, archaeologists assume that the earlier use of ochre was for body decoration – prehistoric cosmetics. Whether this should be defined as symbolic is contentious: red paint might have been used simply to draw attention to or to exaggerate selected parts of the body, such as lips, buttocks and breasts, and hence lacked a symbolic meaning in itself. Conversely, the body paintings themselves may have involved syrnbols, perhaps similar to those found on the two ochre fragments from Blombos Cave; and we must recall that those two unequivocally symbolic artefacts were found amid more than eight thousand pieces of ochre. Hence the absence of incised pieces from the ochre-rich Klasies River Mouth, Border Cave and other sites dating to 100, 000 years ago and earlier might mean simply that they have been missed or else poorly preserved.16
我更同情早期智人使用的红色颜料具有象征意义的观点，而不是欧洲尼安德特人使用的黑色颜料具有象征意义，这不仅仅是因为数量要多得多 它被发现，但也仅仅是因为它的颜色 - 红色。红色已被证明对人类具有特殊意义 因为它引起的一系列生理影响，包括心率和大脑活动的变化，并且因为 它在所有社会的色彩系统中所具有的特权地位。当脑损伤损害色觉时，红色是 最能抵抗损失，恢复最快。
I am more sympathetic to the idea that the red pigment used by early Homo sapiens was symbolic than that the black pigment used by Neanderthals in Europe was so, not only because of the vastly greater quantities in which it is found but also simply because of its colour – red. Red has been shown to have special significance for humans because of the range of physiological effects it induces, including changes in heart rate and brain activity, and because of the privileged position it bears in the colour systems of all societies. When brain lesions impair colour vision, red is the most resistant to loss and the quickest to recover.
进化心理学家在 1976 年的一篇精彩的短文中探讨了和解释了红色的意义 尼古拉斯·汉弗莱 （Nicholas Humphrey），题为“自然的色彩货币”。让我引用他的话：
The significance of red was both explored and explained in a brilliant short essay in 1976 by the evolutionary psychologist Nicholas Humphrey, entitled ‘The Colour Currency of Nature’. Let me quote him:
红毒菌、红瓢虫、红罂粟，吃起来很危险，但红西红柿、红草莓、红苹果是好的。 好斗的猴子张开的嘴很有威胁性，但性接受能力强的雌性红色的屁股很吸引人。这 男人或女人的脸颊泛红可能表示愤怒，但同样可能表示快乐。因此，红色本身， 只能提醒观众，让他准备好接收可能重要的信息;消息内容 只有在定义了发红的上下文时才能解释。17
Red toadstools, red ladybirds, red poppies, are dangerous to eat, but red tomatoes, red strawberries, red apples, are good. The open mouth of an aggressive monkey is threatening, but the red bottom of a sexually receptive female is appealing. The flushed cheeks of a man or woman may indicate anger, but they may equally indicate pleasure. Thus the colour red, of itself, can do no more than alert the viewer, preparing him to receive a potentially important message; the content of the message can be interpreted only when the context of the redness is defined.17
汉弗莱认为，红色作为信号色的模糊性是它如此令人不安的原因，他将红色描述为“自然的颜色货币”。因此，红赭石 被选为人类历史上第一个使用的符号。
Humphrey argues that the ambiguity of red as a signal colour is what makes it so disturbing, and he describes red as ‘the colour currency of nature’. So it is perhaps not surprising that red ochre was selected as the first symbol to be used in human history.
语言是如何演变的？
How did language evolve?
回想一下，'Hmmmmm' 代表 Holistic、manipulative、multi-m odal、musical 和 mimetic。这是非洲智人的直系祖先使用的通信系统类型，尽管其形式不如欧洲的尼安德特人高度进化。我们需要了解“嗯嗯” 非洲智人的祖先使用的语气为语言提供了进化基础。要做到这一点，我们可以从 18 岁的语言学家艾莉森·雷 （Alison Wray） 的工作开始，然后根据我自己对“嗯嗯”的概念来阐述她的想法，然后考虑西蒙·柯比 （Simon Kirby） 的发现。 使用计算机模型探索语言演变的语言学家。19
Recall that ‘Hmmmmm’ stands for Holistic, manipulative, multi-modal, musical, and mimetic. This was the type of communication system used by the immediate ancestors of Homo sapiens in Africa, although in a form less highly evolved than among the Neanderthals in Europe. We need to understand how the ‘Hmmmmm’ used by the African Homo sapiens ancestors provided the evolutionary basis for language. To do so, we can start with the work of the linguist Alison Wray, 18 then elaborate her ideas in the light of my own conception of ‘Hmmmmm’, and then consider the findings of Simon Kirby, a linguist who has used computer models to explore the evolution of language.19
我的“嗯嗯”理论在很大程度上借鉴了雷关于语言前身的想法，因为她提倡这样一种观点，即前智人的话语是整体性的和操纵性的，而不是组合和指涉性的。她的观点截然相反 到 Derek Bickerton 的观点，他在第 10 章中质疑了原始语言作为没有语法的单词的概念。我有 在前几章中描述 Homo ergaster、Homo heidelbergensis 和 Homo neanderthalensis 的通信系统时，借鉴了 Wray 的替代概念，并将其与关于手势和音乐性重要性的争论相结合，发展了“嗯嗯” 理论。那么，“嗯嗯”是如何提供语言的进化先驱的呢？
My ‘Hmmmmm’ theory draws heavily on Wray’s ideas for the precursor for language, as she promoted the idea that pre-Homo sapiens utterances were holistic and manipulative rather than compositional and referential. Her views are diametrically opposed to those of Derek Bickerton, whose notion of proto-language as words without grammar was questioned in chapter 10. I have drawn on Wray’s alternative notion when describing the communication systems of Homo ergaster, Homo heidelbergensis and Homo neanderthalensis in earlier chapters, and combined it with arguments about the significance of gesture and musicality to develop the ‘Hmmmmm’ theory. How then, did ‘Hmmmmm’ provide the evolutionary precursor to language?
Wray 使用术语“分割”来描述人类开始将整体短语分解为单独的过程 units，每个 units 都有自己的引用含义，然后可以与其他话语中的 units 重新组合以创建 无限数组的新话语。这就是组合性的出现，使语言变得更加强大的特征 比任何其他通信系统都强大。
Wray uses the term ‘segmentation’ to describe the process whereby humans began to break up holistic phrases into separate units, each of which had its own referential meaning and could then be recombined with units from other utterances to create an infinite array of new utterances. This is the emergence of compositionality, the feature that makes language so much more powerful than any other communication system.
Wray 认为，分割可能是由于认识到语音段之间的偶然关联而产生的 整体话语及其相关的对象或事件。一旦被识别出来，这些关联可能会 以引用方式用于创建新的组合短语。她提供了以下假设示例： 如果在整体的、操纵性的原始语言中，有一个短语Tebima的意思是“把它给她”，另一个短语Kumapi的意思是“与她分享这个”，一个人可能会认识到马是两个短语中的常见语音片段，而“她”是它们含义的共同方面。因此，那个人可能会得出结论 该 马 可以指代“女性”。请注意，在整体的、操纵性的原始语言中，马根本没有指涉意义，因为 tebima 和 kumapi 都不是组合性的——它们是任意的语音序列，偶然有一个共同的声音。
Wray suggests that segmentation may have arisen from the recognition of chance associations between the phonetic segments of the holistic utterance and the objects or events to which they related. Once recognized, these associations might then have been used in a referential fashion to create new, compositional phrases. She provides the following hypothetical example: if, in the holistic, manipulative proto-language, there was a phrase tebima that meant ‘give that to her’, and another phrase kumapi that meant ‘share this with her’, an individual might recognize that ma was a common phonetic segment in both phrases, and ‘her’ a common aspect of their meaning. Hence that individual might conclude that ma could be used referentially for ‘female person’. Note that in the holistic, manipulative proto-language, ma had no referential meaning at all, as neither tebima nor kumapi were compositional – they were arbitrary phonetic sequences that by chance had one sound in common.
尽管 Derek Bickerton 和 Maggie Tallerman 等对 Wray 方法不满的语言学家对这种可行性提出了质疑 对于细分，他们的批评是毫无根据的。20 例如，Tallerman 声称，任何偶然关联出现的可能性都很小，但计算机模拟 表明它们很容易发生——如下所述——而雷本人已经解释了这个过程 的分段可能已由“接近匹配”支持。Tallerman 还声称，整体话语不太可能 包含多个音标字符串，并且由于它们太短而有可能进行分段。但是一个 只需考虑一下猴子、猿猴、鸟类等冗长的整体短语，就可以理解那些 我们的人类祖先可能已经有相当长的时间，经过数千年的进化和数量激增以提供 语义特异性越来越强。同样，雷的分割理论必须假设先验存在的论点 离散的片段，然后使她的整体话语概念无效，这也是没有根据的。整体话语 可能是多音节的，但根据定义，它们是整体的，没有单个或一组音节 映射到话语复杂含义的离散方面。
Although linguists unsympathetic to Wray’s approach, such as Derek Bickerton and Maggie Tallerman, have questioned the feasibility of segmentation, their criticisms have been insubstantial.20 Tallerman claims, for instance, that the likelihood of any chance associations arising is remote, but computer simulations have shown that they could easily have happened – as will be described below – while Wray herself has explained how the process of segmentation may have been supported by ‘near matches’. Tallerman also claims that holistic utterances are unlikely to have contained multiple phonetic strings with the potential for segmentation because they would have been too short. But one need do no more than consider the lengthy holistic phrases of monkeys, apes, birds, and so forth, to appreciate that those of our human ancestors may have been of considerable length, having evolved over millennia and proliferated in number to provide ever greater semantic specificity. Similarly, an argument that Wray’s theory of segmentation has to assume the prior existence of discrete segments, which then invalidates her conception of holistic utterances, also has no foundation. Holistic utterances may have been multi-syllabic but they were – by definition – holistic, with none of the individual or groups of syllables mapping onto a discrete aspect of the utterance’s complex meaning.
这样的批评进一步无效，而 Wray 分割过程的可行性得到了增强，当她自己的特征 被我以 的 '嗯嗯'。
Such criticisms are further invalidated, and the feasibility of Wray’s process of segmentation enhanced, when her own characterization of holistic proto-language is replaced by the rather more complex and sophisticated perspective I have developed in the form of ‘Hmmmmm’.
拟声词、声音模仿和声音联觉的存在会在 整体话语的语音片段和世界上的某些实体，特别是具有独特叫声的动物物种， 具有独特声音和身体反应的环境特征 – 在上一章中，我举了 “Yuk！” 的例子。 这些非任意的关联会显著增加特定语音段的可能性 最终开始指代相关实体，因此以词语的形式存在，与完全偶然的联想相比 雷在她自己的例子中使用了这个想法。使用手势和肢体语言会进一步增加这种可能性， 特别是如果话语的语音片段经常与指向某个实体的手势组合出现 在世界上。一旦出现一些单词，其他单词就会更容易跟随，通过分割过程 雷描述道。
The presence of onomatopoeia, vocal imitation and sound synaesthesia would have created non-arbitrary associations between phonetic segments of holistic utterances and certain entities in the world, notably species of animals with distinctive calls, environmental features with distinctive sounds, and bodily responses – in a previous chapter I gave the example of ‘Yuk!’. These non-arbitrary associations would have significantly increased the likelihood that the particular phonetic segments would eventually come to refer to the relevant entities and hence’ to exist as words, as compared with the entirely chance associations that Wray uses in her own examples. The likelihood would have been further increased by the use of gesture and body language, especially if a phonetic segment of an utterance regularly occurred in combination with a gesture pointing to some entity in the world. Once some words had emerged, others would have followed more readily, by means of the segmentation process that Wray describes.
“Hmmmmm”的音乐性也会促进这个过程，因为音高和节奏会强调特定的 语音片段，从而增加了它们被视为具有自身含义的离散实体的可能性。 在第 6 章中，我解释说婴儿的语言习得就是这种情况：夸张的韵律 IDS 帮助婴儿分离他们听到的声音流，以便识别单个单词和短语。在类似的 方式，分割的进化过程会因 'Hmmmmm' 中短语的重复而得到进一步加强， 就像今天的音乐中对婴儿重复单词和重复副歌以达到情感和其他效果一样。 此外，“嗯嗯”的音乐性也确保了整体话语的足够长度，因此 分割过程将有一些原材料可供使用。这样的话语肯定是构成的 的片段，而没有任何组成词的预设。它们可能来自我描述的口头手势 第 8 章：嘴唇、舌尖、舌体、舌根、唇膜和喉部的物理运动，这些运动创造了语音 任何话语的片段 – 整体或组合。
The musicality of ‘Hmmmmm’ would also have facilitated this process, because pitch and rhythm would have emphasized particular phonetic segments and thus increased the likelihood that they would become perceived as discrete entities with their own meanings. In chapter 6, I explained that this was the case with regard to language acquisition by infants: the exaggerated prosody of IDS helps infants to split up the sound stream they hear so that individual words and phrases can be identified. In a similar way, the evolutionary process of segmentation would have been further enhanced by the repetition of phrases within ‘Hmmmmm’, just as words are repeated to infants and refrains are repeated within music today to achieve emotional and other effects. The musicality of ‘Hmmmmm’ would, moreover, have also ensured that holistic utterances were of sufficient length, so that the process of segmentation would have some raw material to work with. And such utterances would certainly have been constituted of segments without any presupposition of their comprising words. They would have derived from the oral gestures that I described in chapter 8: the physical movements of the lips, tongue tip, tongue body, tongue root, velum and larynx that create the phonetic segments of any utterance – holistic or compositional.
对分割过程的进一步信心来自于使用计算机模型来模拟语言的演变。
Further confidence in the process of segmentation derives from the use of computer models to simulate the evolution of language.
模拟语言的演变
Simulating the evolution of language
爱丁堡大学的 Simon Kirby 是开始探索语言演变的几位语言学家之一 计算机仿真模型。21 他在他的程序中创建了一个代理群体——模拟人——这些代理通过使用字符串相互通信 语言的符号。他的模拟人群是多代人的，每个新的“学习代理”都会获得自己的语言 来自已经存在的 'speaking-agents'。通过这种方式，他的模拟能够探索最显着的特征之一 人类语言：儿童如何仅通过倾听父母、兄弟姐妹和其他语言使用者的声音来获得语言。
Simon Kirby of Edinburgh University is one of several linguists who have begun to explore the evolution of language using computer simulation models.21 He creates a population of agents – simulated people – within his program, which communicate with each other by using strings of symbols for language. His simulated population is multigenerational, with each new ‘learning-agent’ acquiring its language from the already existing ‘speaking-agents’. In this way, his simulations are able to explore one of the most remarkable features of human language: how children acquire language simply by listening to their parents, siblings and other language-users.
Kirby 通过为每个说话代理提供一种“随机语言”来开始他的模拟——也就是说，它们会生成随机字符串 的符号。因此，这是一种整体语言，因为什么都没有 在对应于所传达的特定含义的每个字符串的结构中。随着模拟的运行，学习代理 接触到说话代理的样本，并通过这种方式获得自己的语言。因为他们只会永远 听过任何一个说话代理的话语样本，他们的语言将不同于任何其他人的语言。 因此，Kirby 将语言系统描述为不稳定的：它在代内和代际之间变化很大。
Kirby begins his simulations by giving each speaking-agent a ‘random language’ – that is to say, they generate random strings of symbols for each meaning with which they are prompted. This is therefore a holistic language, because there is nothing in the structure of each string that corresponds to the specific meaning being conveyed. As the simulation runs, learning-agents are exposed to a sample of speaking-agents and by this means acquire a language of their own. Because they will only ever have heard a sample of the utterances of any single speaking-agent, their language will be unlike that of any other individual. Accordingly, Kirby describes the language system as unstable: it is highly variable within and between generations.
随着模拟的进行，Kirby 发现语言系统的某些部分变得稳定并被忠实地传递 一代又一代。发生这种情况是因为 Kirby 正在有效地模拟 Wray 推测可能的过程 在人类进化过程中发生过：学习代理错误地推断出说话代理的某种形式的非随机行为 指示元件字符串和含义之间的循环关联，然后使用此关联生成自己的关联 话语，这些话语现在是真正的非随机的。Kirby 将这个过程称为“泛化”。其他学习代理将 获取 symbol string 与其含义之间的相同关联，以便它在整个群体中传播，从而创建 柯比称之为“稳定的口袋”。最终，整个语言系统将得到稳定，并将构成 一种单一的组合语言。
As the simulations proceed, Kirby finds that some parts of the language systems become stabilized and are passed on faithfully from one generation to the next. This occurs because Kirby is effectively simulating the process that Wray speculates may have happened during human evolution: a learning-agent mistakenly infers some form of non-random behaviour in a speaking-agent indicating a recurrent association between a symbol string and a meaning, and then uses this association to produce its own utterances, which are now genuinely non-random. Kirby refers to this process as ‘generalization’. Other learning-agents will acquire the same association between the symbol string and its meaning, so that it spreads throughout the population, creating what Kirby calls ‘pockets of stability’. Eventually, the whole language system will have been stabilized and will constitute a single, compositional language.
通过这项工作，柯比将诺姆·乔姆斯基 （Noam Chomsky） 关于刺激计划贫困的论点颠倒过来。乔姆斯基相信 儿童不可能仅仅通过听父母和兄弟姐妹的话来学习语言;他认为任务是 对于从出生到三岁左右精通语言之间的时间来说，这太复杂了。因此， 他声称婴儿是：出生时已经具备了大量的语言能力，以“通用 语法”。但柯比的模拟表明，语言学习可能并不像乔姆斯基认为的那么具有挑战性。或者更确切地说，那个 学习过程本身会导致语法结构的出现。因此，如果存在“通用 语法“，它可能是通过代际之间的”学习瓶颈“进行文化传播的产物，而不是 生物进化过程中的自然选择;“刺激的贫困”成为一种创造性的力量，而不是一种限制 关于语言习得。
Through this work Kirby is turning Noam Chomsky’s argument about the poverty of the stimulus on its head. Chomsky believed that it was impossible for children to learn language simply by listening to their parents and siblings; he thought the task too complicated for the time available between birth and becoming linguistically adept at around the age of three. As a consequence, he claimed that infants were: born with a great deal of their language abilities already-present, in the form of ‘Universal Grammar’. But Kirby’s simulations show that language learning may not be as challenging as Chomsky believed. Or rather, that the process of learning itself can lead to the emergence of grammatical structures. Hence, if there is such a thing as ‘Universal Grammar’, it may be a product of cultural transmission through a ‘learning bottleneck’ between generations, rather than of natural selection during biological evolution; ‘poverty of the stimulus’ becomes a creative force rather than a constraint on language acquisition.
当然，柯比的作品只不过是现实生活的极简版本。虚幻的起始条件 – 一个 每个说话者完全随机且使用不同的语言 - 以及不真实的语言习得过程 - 包括缺失 相当于计算机中的婴儿定向语音 （IDS） – 可能会对结果产生不当影响。但这样必然 简化很可能是限制而不是提高组合性出现的速度。此外 如果 Kirby 以 'Hmmmmm' 而不是随机类型的语言开头，那么某种形式的语法结构就已经存在了 一直存在，最明显的是递归。
Kirby’s work is, of course, no more than a remarkably simplified version of real life. The unreal starting conditions – an entirely random and different language for each speaker – and unreal process of language acquisition – including the absence of a computer equivalent of infant-directed speech (IDS) – might be having an undue influence on the results. But such inevitable simplifications are most probably constraining rather than increasing the speed at which compositionality arises. Moreover, if Kirby was starting with ‘Hmmmmm’ rather than a random type of language, some form of grammatical structure would have already been present, most notably recursion.
正如我在第 2 章中指出的，Chomsky 和他的同事们认为递归是语言语法中最重要的元素， 这是所有动物交流系统中唯一完全不存在的元素。22 递归是语言短语嵌入自身的方式，就像从句中的子句一样。 它在支持从有限元素套件生成无限范围的表达式方面发挥着关键作用。但是，递归已经存在于 “嗯嗯”——至少如果我在前几章中的论点被接受的话。因此，当 'Hmmmmm' 发生分割时， 重新组合新发现的单词的规则已经存在，并且可以利用这些规则来完成向组合式的转变 采用语法规则的语言。另一个关键的发展可能是“发现”如何将 词使用连词，例如 'but'、'and'、'or'。
As I noted in chapter 2, Chomsky and his colleagues argued that recursion is the most important element of linguistic grammar, the only element that is entirely absent from all animal communication systems.22 Recursion is the manner in which a linguistic phrase can be embedded within itself, as in the case of a clause within a clause. It plays a key role in enabling the generation of an infinite range of expressions from a finite suite of elements. Recursion would, however, have already been present in ‘Hmmmmm’ – at least it would if my arguments in the previous chapters are accepted. Hence as segmentation of ‘Hmmmmm’ occurred, rules for recombining the newly found words were already present, and could be exploited to complete the shift to a compositional language employing grammatical rules. A further key development might have been the ‘discovery’ of how to combine the emergent words by the use of conjunctions such as ‘but’, ‘and’, ‘or’.
为什么语言是在 200， 000 年前才进化的？
Why did language only evolve after 200, 000 years ago?
Wray 和 Kirby 一起帮助我们理解组合语言是如何从整体短语演变而来的。然而，他们 也给我们带来了一个意想不到的问题：为什么这只发生在 200， 000 年前的非洲？如果，就像我一样 争论说，Homo ergaster 在 180 万年前就有一种“嗯嗯”的交流形式，50 万年前的 Homo heidelbergensis 和 250， 000 年前的 Homo neanderthalensis 也是如此，那么为什么它们保持完整而不是被分割呢？
Together, Wray and Kirby have helped us to understand how compositional language evolved from holistic phrases. However, they have also posed us with an unexpected problem: why did this only happen in Africa after 200, 000 years ago? If, as I have argued, Homo ergaster had a form of ‘Hmmmmm’ communication by 1.8 million years ago, as did Homo heidelbergensis at 0.5 million years ago, and Homo neanderthalensis at 250, 000 years ago, then why did these remain intact rather than becoming segmented?
有两种可能性，一种与社会生活有关，一种与人类生物学有关。关于第一个，我们应该首先注意 Kirby 发现整体语言在那些模拟中保持稳定，在这些模拟中，学习代理听到了如此多的说话代理 他们学习符号字符串和含义之间的每一个关联的话语。换句话说，没有学习 语言通过的瓶颈，因此不需要泛化。因此，社会 智人以外的人种群的安排是这样的，婴儿强烈而持续地暴露于有限数量的“嗯嗯”说话者，从而导致习得 的整个 'Hmmmmm' 话语套件，无需泛化。
There are two possibilities, one relating to social life and one to human biology. As regards the first, we should note initially that Kirby found holistic languages remain stable in those simulations in which learning-agents hear so much of the speaking-agents’ utterances that they learn every single association between symbol string and meaning. In other words, there is no learning bottleneck for language to pass through, and hence no need for generalization. It may be the case, therefore, that the social arrangements of Homo populations other than Homo sapiens were such that infants had intense and continuous exposure to a limited number of ‘Hmmmmm’ speakers, resulting in the acquisition of the entire ‘Hmmmmm’ suite of utterances, with no need for generalization.
这在我在前几章中概述的原始人和早期人类社区类型中确实很有可能， 是否由 Homo habilis 或 Neanderthals 组成。他们生活在社交亲密的群体中，对新奇话语的需求有限（如果有的话） 只能由组合语言产生，而不是“嗯嗯”。此外，几乎没有需求和 很少有机会与本团体以外的其他团体成员交流——尽管有些接触涉及运动 对于维持人口统计学和遗传活力至关重要。但几乎没有必要说 这样的场合。
This would indeed have been quite likely in the type of hominid and Early Human communities I have outlined in previous chapters, whether comprised of Homo habilis or Neanderthals. They lived in socially intimate groups with limited, if any, need for the type of novel utterances that could only be produced by compositional language, as opposed to ‘Hmmmmm’. Moreoever, there would have been little need and few opportunities to communicate with members of other groups than one’s own – although some contacts involving the movement of individuals would have been essential to maintain demographic and genetic viability. But little need have been said on such occasions.
可能只有在非洲最早的智人社区中，人们才开始采取专门的经济角色和社会地位，开始与其他社区进行贸易和交流，“与陌生人交谈”成为一种重要且 社会生活的普遍方面。这样的发展将造成交换大量信息的压力 比以前在社会亲密、未分化的早期人类群体中所必需的要多。只有这样，才会有 是泛化的需要，就像 Kirby 在他的模拟中描述的那样，并且需要不断生成 新话语的速度和类型超出了 'Hmmmmm' 的能力。23
It may have been only within the earliest Homo sapiens communities in Africa that people began to adopt specialized economic roles and social positions, that trade and exchange with other communities began, and that ‘talking with strangers’ became an important and pervasive aspect of social life. Such developments would have created pressures to exchange far greater amounts of information than was previously necessary in the socially intimate, undifferentiated groups of Early Humans. Only then would there have been the need for generalization, in the manner that Kirby describes within his simulation, and the need continually to generate novel utterances at a rate and of a type beyond the capability of ‘Hmmmmm’.23
来自非洲的与智人出现有关的考古记录无疑表明，这种社会发展确实发生了。24 当然，困境在于我们是处理因果关系：有人可能会争辩说，经济 群体之间的专业化和交换关系是组合语言的结果，这使得必要的 要进行的通信。我的猜测是，我们正在处理两者之间的强烈反馈——他们是 “自力更生” 彼此在社会和沟通中创造快速变化。
The archaeological record from Africa relating to the appearance of Homo sapiens certainly suggests that such social developments did occur.24 The dilemma, of course, is whether we are dealing with cause or effect: one might argue that the development of economic specialization and exchange relations between groups was a consequence of compositional language, which enabled the necessary communication to be undertaken. My guess is that we are dealing with strong feedback between the two – they ‘bootstrapped’ each other to create rapid changes both in society and in communication.
这种发展的开始可能是偶然的基因突变——这是分割的第二个可能原因 的“嗯嗯”只发生在现代人类出现的非洲。这可能提供了一种识别语音的新功能 Segments 中的命令。在这里，我们应该回顾一下发展心理学家珍妮·萨弗兰 （Jenny Saffran） 的工作，她已经证明 婴儿可以在他们听到的连续声音流中提取统计规律，从而了解这些规律 离散词的存在，正如我在第 6 章中所描述的那样。如果这种统计学习的能力或其他一些 相关能力，在 Homo sapiens 以外的 Homo 物种中不存在？好吧，他们无法识别整体话语中的语音片段，因此 无法迈出发展组合语言的第一步。
The kick-start for such developments may have been a chance genetic mutation – the second possible reason why segmentation of ‘Hmmmmm’ only occurred in Africa with the advent of modern humans. This may have provided a new ability to identify phonetic segments in holistic utterances. Here we should recall the work of Jenny Saffran, the developmental psychologist who has shown that infants can extract statistical regularities within the continuous sound streams that they hear and hence learn about the existence of discrete words, as I described in chapter 6. What if that capacity for statistical learning, or some other related ability, was absent in species of Homo other than Homo sapiens? Well, they would not have been able to identify the phonetic segments within a holistic utterance, and thus would have been unable to take the first step in evolving a compositional language.
我们已经看到，语言的某些方面取决于特定基因 FOXP2 的拥有，即现代 人类版本似乎在 200， 000 年前不久就出现在非洲。也许是分割的过程 以某种尚未被发现的方式依赖于这个基因。事实上，这些成员可能很重要 的 KE 家族受到 FOXP2 基因缺陷版本的困扰，不仅在语法方面存在困难，而且 理解复杂的句子并判断诸如 'blonterstaping' 之类的序列是否是一个真实的词。25 这些困难似乎反映了对他们来说听起来像整体话语的分割问题。所以也许 只有通过 FOXP2 基因的偶然突变创造了现代人类版本，分割才成为可能。 或者可能在类似的日期有其他基因突变，使从整体短语过渡到组合语言，也许是通过 通用统计学习能力的出现。
We have already seen that some aspects of language are dependent on the possession of the specific gene FOXP2, the modern human version of which seems to have appeared in Africa at soon after 200, 000 years ago. Perhaps the process of segmentation was dependent upon this gene in some manner that has yet to be discovered. Indeed, it may be significant that those members of the KE family that were afflicted with a faulty version of the FOXP2 gene had difficulties not only with grammar but also with understanding complex sentences and with judging whether a sequence such as ‘blonterstaping’ is a real word.25 These difficulties seem to reflect a problem with the segmentation of what sound to them like holistic utterances. So perhaps it was only with the chance mutation of the FOXP2 gene to create the modern human version that segmentation became possible. Or there may have been other genetic mutations at a similar date that enabled the transition from holistic phrases to compositional language, perhaps through the appearance of a general-purpose statistical learning ability.
语言：从补充到主导“嗯嗯”
Language: from supplementing to dominating ‘Hmmmmm’
如果我们接受上述关于组合语言如何从整体短语演变而来的论点，那么最初的话语 可能遭受了与比克顿原始语言话语相同的弱点：它们的含义可能非常高 对于社区的其他成员来说，如果不是完全无法理解的话，也是模棱两可的。但与 Bickerton 的理论有一个关键区别 是，通过分割过程从整体短语中出现的组合话语本来就只是 对“嗯嗯”通信系统的补充。事实上，从“嗯嗯”到组合语言的转变会 经过数千年，整体话语为逐渐采用单词和新话语提供了文化支架 由语法规则构建。此外，最初的词语最初可能对说话者具有主要意义 作为促进他们自己的思考和规划的手段，而不是作为一种交流手段，这本可以继续下去 依赖于现有的 'Hmmmmm' 系统。
If we accept the above arguments for how compositional language evolved from holistic phrases, then the initial utterances may have suffered from the same weakness as the Bickertonian proto-language utterances: their meanings might have been highly ambiguous, if not entirely unintelligible, to other members of the community. But a key difference from Bickerton’s theories is that the compositional utterances that emerged from holistic phrases by a process of segmentation would have begun as mere supplements to the ‘Hmmmmm’ communication system. Indeed, the transition from ‘Hmmmmm’ to compositional language would have taken many millennia, the holistic utterances providing a cultural scaffold for the gradual adoption of words and new utterances structured by grammatical rules. Moreover, the first words may initially have been of primary significance to the speaker as a means to facilitate their own thought and planning, rather than as a means of communication, which could have continued relying on the existing ‘Hmmmmm’ system.
与自己交谈是我们所有人偶尔都会做的事情，尤其是当我们试图承担一项复杂的任务时。孩子 比成年人更多地这样做，他们所谓的“私人言语”已经被认为是认知发展的重要组成部分。 伊利诺伊州立大学心理学教授劳拉·伯克 （Laura Berk） 在 1990 年代的研究证明了如何自言自语 通过一个问题，尤其是一个涉及复杂身体运动的问题，有助于成功完成它。26 她发现，在学习系鞋带或解决数学问题时，提供自己的口头解说的孩子 比那些保持沉默的人更快地学习这些任务。虽然它永远不会完全消失，但自我导向的言语会逐渐消失 随着孩子的成熟而消失，取而代之的是我们都在使用的无声的内心对话——思考而不是说 的话。
Talking to oneself is something that we all occasionally do, especially when we are trying to undertake a complex task. Children do this more than adults, and their so-called ‘private speech’ has been recognized as an essential part of cognitive development. Studies in the 1990s by Laura Berk, professor of psychology at Illinois State University, demonstrated how talking oneself through a problem, especially one that involves intricate physical movements, helps to accomplish it successfully.26 She found that children who provide their own verbal commentary when learning to tie shoelaces or solve mathematical problems learn those tasks quicker than those who remain silent. Although it never goes away entirely, self-directed speech gradually disappears as children mature, becoming replaced with the silent inner speech that we all use – thinking rather than saying words.
私人言语的认知影响的基础是我们将在下面探讨的一个问题，当语言与 考虑。在这里，我们只需要注意，与自己交谈可以产生有利的认知结果，我怀疑 在语言的形成时期尤其如此。尽管第一个分段的语言短语可能具有 与 Bickertonian 原始语言的话语一样模棱两可，因此在传递信息方面的价值有限 在个人之间，它们必须对说这些话的人的思想产生重大的有益影响。我 怀疑那些自言自语的人在解决问题和规划方面获得了显着优势。私下谈话可能在发展过程中起着至关重要的作用 一种组合语言，使状态足够复杂，使其成为有意义的信息交换工具。
The basis of private speech’s cognitive impact is an issue we will explore below, when the relationship between language and thought is considered. Here, we need simply note that talking to oneself can have advantageous cognitive results, and I suspect that this was especially the case in the formative days of language. Although the first segmented linguistic phrases may have been as ambiguous as the utterances of a Bickertonian proto-language, and hence of limited value for transmitting information between individuals, they must have had a significant beneficial impact on the thought of the individuals speaking them. I suspect that those who talked to themselves gained a significant advantage in problem-solving and planning. Private speech may have been crucial in the development of a compositional language to sufficiently complex a state for it to become a meaningful vehicle for information exchange.
然后，组合语言将成为“Hmmmmm”的补充，并最终成为主要的交流形式 由于它在传递信息方面更有效。相比之下，可以说出无数的事情 到 'Hmmmmm' 允许的有限短语数量。婴儿和儿童的大脑会以一种新的方式发展， 其后果之一是大多数人失去了完美的音高，音乐性的减少 能力。
Compositional language would then have become a supplement to ‘Hmmmmm’, and eventually the dominant form of communication owing to its greater effectiveness at transmitting information. With it, an infinite number of things could be said, in contrast to the limited number of phrases that ‘Hmmmmm’ allowed. The brains of infants and children would have developed in a new fashion, one consequence of which would have been the loss of perfect pitch in the majority of individuals and a diminution of musical abilities.
一旦分割过程开始，我们应该期待语法规则的快速演变，并建立在那些 会继承自 'Hmmmmm'。这样的规则会随着文化传播的过程中而演变 柯比所描述的，也许是通过自然选择导致了基于基因的神经网络的出现 启用更复杂的语法结构。这种“先词后语法”是 Bickerton 的语言进化类型 proposed – 所以我们可以看到他的观点不一定是错的，而只是时间顺序错位，需要一个 预先存在的整体原始语言的历史是可行的。没有人会质疑的是，组合的出现 语言对人类的思想和行为产生了深远的影响。因此，我们现在必须回到非洲的考古记录。
Once the process of segmentation had begun, we should expect a rapid evolution of grammatical rules, building on those that would have been inherited from ‘Hmmmmm’. Such rules would have evolved by the process of cultural transmission in the manner that Kirby describes, and perhaps through natural selection leading to the appearance of genetically based neural networks enabling more complex grammatical constructions. This ‘words before grammar’ is the type of language evolution that Bickerton proposed – so we can see that his views are not necessarily wrong, but are simply chronologically misplaced and require a pre-existing history of holistic proto-language to be feasible. What no one will dispute is that the emergence of compositional language had a profound impact on human thought and behaviour. And so we must now return to the archaeological record of Africa.
非洲的行为发展
Behavioural developments in Africa
Sally McBrearty 和 Alison Brooks 是康涅狄格大学的两位非洲考古学权威专家 和乔治华盛顿大学。2000 年，他们发表了一篇关于非洲考古年代测定的全面综述 到 200， 000 到 40， 000 年前，它具有学术区别，即作为《人类进化杂志》的完整问题出现。27 他们的目的是证明考古记录为现代人类行为的起源提供了确凿的证据， 以及暗示语言，在 100， 000 年前之前的非洲。
Sally McBrearty and Alison Brooks are two leading specialists in African archaeology, based at the University of Connecticut and George Washington University respectively. In 2000 they published a comprehensive review of African archaeology dating to between 200, 000 and 40, 000 years ago, which had the academic distinction of appearing as a complete issue of the Journal of Human Evolution.27 Their aim was to demonstrate that the archaeological record provides conclusive evidence for the origin of modern human behaviour, and by implication language, in Africa prior to 100, 000 years ago.
事实确实如此。非洲的记录表明，人类行为的逐渐变化与 用组合语言缓慢地取代了“Hmmmmm”。关键指标与欧洲 大约 40， 000 年前，当智人开始超越并取代尼安德特人时。在后一种情况下，现代语言介导行为的指标 突然出现，作为一个整体：视觉符号、骨器、身体装饰、仪式化的埋葬、强化的狩猎活动、远距离 交流和露营地的结构。同样的行为也出现在非洲，但都是零碎的、渐进的 时尚始于大约 200， 000 年前。
This is certainly the case. The African record suggests a gradual change in human behaviour that is entirely compatible with a slow replacement of ‘Hmmmmm’ by compositional language. The key indicators are similar to those that appear in Europe at around 40, 000 years ago, when Homo sapiens begins to overtake and replace the Neanderthals. In the latter case, the indicators of modern, linguistically mediated behaviour appear suddenly and as a single package: visual symbols, bone tools, body decoration, ritualized burial, intensified hunting practices, long-distance exchange, and structures at camping sites. The same suite of behaviours appears in Africa, but in a piecemeal and gradual fashion beginning at around 200, 000 years ago.
Blombos Cave 是记录此类发展的关键地点之一。我们已经注意到 可追溯到 70， 000 年前的颜料和符号。在当代，它提供了一些有史以来最早的骨尖 已发现，显示新工具对新活动的使用。Blombos Cave 还提供特别精美的石头“Stillbay” 点，这些点仅限于开普敦地区。这些特别难以制造，很可能是灌注的 即使不是象征意义，也具有社会意义，就像贝壳珠子一样。
Blombos Cave is one of the key sites that document such developments. We have already noted the appearance at this site of pigment and symbols dating to 70, 000 years ago. At a contemporary date, it provides some of the earliest bone points ever discovered, showing the use of new tools for new activities. Blombos Cave also provides particularly fine stone ‘Stillbay’ points, which are restricted to the Cape region. These were particularly difficult to manufacture and were most likely imbued with social if not symbolic significance, in the same manner as the shell beads.
另一个显示行为发展的关键地点是 Klasies River Mouth。在这里，在 80， 000 到 72， 000 年前之间，我们 看到骨制品、细石尖和精致碎裂的燧石刀片的外观，考古学家称之为 微石。28 然而，奇怪的是，这些工具似乎随后从考古记录中消失了，并回到了更传统的平原上 石片又花了两万年，然后在大约 50， 000 年前发生永久性变化。29
Another key site showing behavioural developments is Klasies River Mouth. Here, between 80, 000 and 72, 000 years ago, we see the appearance of bone artefacts, fine stone points, and delicately chipped blades of flint, known to archaeologists as microliths.28 Strangely, however, such tools seem then to disappear from the archaeological record, with a return to more traditional plain stone flakes for another twenty thousand years, before permanent change occurs at around 50, 000 years ago.29
这种临时的印象是更复杂的、语言介导的行为，在考古过程中 在其他方面与尼安德特人在很长一段时间内的巨大稳定性相似的记录也是 发现于非洲其他地方。例如，在刚果民主共和国的卡坦达发现了骨鱼叉，年代可追溯 到 90， 000 年前，然后又过了 60000 年才知道类似的情况。30 赞比亚的 Mumbwa 洞穴已知有故意铺有石头的壁炉，其历史至少可以追溯到 100， 000 年前。31 这些正是尼安德特人欧洲极不常见的壁炉类型，狩猎采集者会围绕着这些壁炉 坐下来互相交谈。但除了 Mumbwa 和 Klasies River Mouth 之外，这样的壁炉实际上是相当不为人知的 在非洲。
This impression of temporary ‘flashes’ of more complex, linguistically mediated behaviour, in the middle of an archaeological record that is otherwise similar to that for the Neanderthals in its immense stability over long stretches of time, is also found elsewhere in Africa. For instance, bone harpoons have been found at Katanda in the Democratic Republic of Congo, dating to 90, 000 years ago, and then nothing similar is known for another sixty thousand years.30 Deliberately stone-lined hearths are known from Mumbwa Cave in Zambia, dating to at least 100, 000 years ago.31 These are precisely the type of hearths, so strikingly absent from Neanderthal Europe, around which hunter-gatherers would have sat talking to each other. But other than at Mumbwa and at Klasies River Mouth, such hearths are effectively quite unknown in Africa.
总而言之，在至少可追溯到二十五万年前的工具制造传统的延续中， 在非洲有零星的新行为痕迹，考古学家将其与现代语言使用联系起来 人类。从以“嗯嗯”为主的通信系统过渡到组合语言很可能花了几十年的时间 数千年。一些社区主要使用“Hmmmmm”的时间可能比其他社区长得多;一些人 成为熟练的语言使用者可能在他们的知识传递之前就已经去世了，而总体人口规模 可能规模很小，人们生活在广泛分散的群体中，这会抑制新思想的文化传播。32 当然，非洲许多地方也相对缺乏考古勘探;有效 广阔的 区域 与欧洲深入探索的河谷和洞穴相比，它仍然是考古学家的处女地。
In summary, amid a continuation of tool-making traditions that stretch back at least two hundred and fifty thousand years, there are sporadic traces of new behaviour in Africa of the type that archaeologists associate with modern, language-using humans. The transition from a predominantly ‘Hmmmmm’ communication system to compositional language most likely took tens of thousands of years. Some communities may have continued primarily with ‘Hmmmmm’ for much longer than others; some individuals who had become proficient language-users may have died before their knowledge was passed on, while overall population sizes may have been small, with people living in widely scattered groups, which would have inhibited the cultural transmission of new ideas.32 There is also, of course, the relative lack of archaeological exploration in many parts of Africa; vast areas effectively remain virgin territory for archaeologists when compared with the intensively explored river valleys and caves of Europe.
超过人口统计阈值
Passing a demographic threshold
直到 50， 000 年前，许多新行为才成为人类曲目的永久特征。 这一天曾被认为是语言和现代行为首次出现的日期。那是在非洲考古学 在基因研究和化石发现证实现代人类的出现之前，证据已经广为人知 到 195， 000 年前，在 FOXP2 基因对语言的重要性被揭示之前。但日期 然而，50， 000 年前标志着考古记录的显着变化。
It was not until after 50, 000 years ago that many of the new behaviours became permanent features of the human repertoire. This date was once taken to be when language and modern behaviour first appeared. That was before the African archaeological evidence had become well known, before the genetic studies and fossil discoveries confirmed the appearance of modern humans by 195, 000 years ago, and before the significance of the FOXP2 gene for language had been revealed. But the date of around 50, 000 years ago nevertheless marks a striking change in the archaeological record.
这现在可以解释为，在智人完全依赖组合语言进行交流后，人口门槛的通过。由于人口足够密集，文化 传播将“修复”社区中的新行为，因此当特定个体时，它们将不再丢失 死亡或当地团体灭绝。
This is now explained by the passing of a demographic threshold after Homo sapiens had become entirely dependent upon compositional language for communication. With sufficiently dense populations, cultural transmission would have ‘fixed’ new behaviours in communities so that they would no longer be lost when particular individuals died or local groups became extinct.
50， 000-40， 000 年前的日期的重要性，以及通过人口门槛的可能性，已经 被一项基因研究证实——遗传学和考古学证据如何显示不断增加的另一个例子 收敛。事实上，这一证据来自 Max Ingman 和他的同事提出的遗传起源的同一项研究 如上所述，智人大约在 170， 000 年前。33 他们发现非洲人和所有非非洲人的 DNA 之间存在显着差异;哪 只能产生于 50， 000 年前两者之间的分裂，随后后者的人口快速增长 群。
The significance of the 50, 000-40, 000 years ago date, and the likelihood of the passing of a demographic threshold, have been confirmed by a genetic study – another example of how the evidence from genetics and that from archaeology show ever-increasing convergence. In fact, this evidence comes from the same study by Max Ingman and his colleagues that proposed the genetic origin of Homo sapiens at around 170, 000 years ago, as noted above.33 They found a striking difference between the DNA of African people on one hand and of all non-Africans on the other; which could only have arisen from a split between the two after 50, 000 years ago followed by rapid population growth in the latter group.
因此，这一天似乎不仅标志着非洲的人口和文化门槛，也标志着现代主义的传播 人类进入欧洲和亚洲。这不是智人第一次从非洲扩散，因为大约在 100， 000 年前就已经发生了一次。34 从以色列 Skhul 和 Qafzeh 洞穴中发现的骨骼和考古遗骸中可以明显看出这一点，其中包括 墓葬、珠子和颜料。但遗传学和化石证据表明，这个早期的“走出非洲”的智人种群对现代基因库没有贡献。Skhul 和 Qafzeh 的证据由于明显存在而引人注目 象征性行为以及使用与占据相同位置的尼安德特人的石材技术非常相似 地区。正是这种技术的相似性使罗伯特·弗利 （Robert Foley） 和玛尔塔·拉尔 （Marta Lahr） 相信，尼安德特人和 现代人类在 300， 000 年前有一个相对较近的共同祖先 Homo helmei。对我来说，相似性的意义在于它表明 Qafzeh 的现代人类 和 Skhul 仍然使用“Hmmmmm”作为组合语言，并且没有达到完全的认知流畅性。
This date appears, therefore, to mark not only a demographic and cultural threshold in Africa but also the spread of modern humans into Europe and Asia. That was not the first dispersal of Homo sapiens out of Africa, as one had already occurred at around 100, 000 years ago.34 This is evident from skeletal and archaeological remains found in the caves at Skhul and Qafzeh in Israel, which include burials, beads and pigment. But both the genetic and the fossil evidence indicate that this early ‘out of Africa’ Homo sapiens population did not contribute to the modern gene pool. The Skhul and Qafzeh evidence is striking owing to the clear presence of symbolic behaviour alongside the use of stone technology very similar to that of the Neanderthals, who occupied the same region both before and after this modern human presence. It is this similarity in technology that leads Robert Foley and Marta Lahr to believe that the Neanderthals and modern humans had a relatively recent common ancestor, Homo helmei, at 300, 000 years ago. For me, the significance of the similarity is that it indicates that the modern humans of Qafzeh and Skhul were still using ‘Hmmmmm’ as much as compositional language, and had not attained full cognitive fluidity.
目前尚不清楚澳大利亚最早的智人是否也是如此，它可能可以追溯到 60， 000 年前。然而，很明显的是，在 50， 000 年之后 以前，智人从非洲大规模分散，这在全球各个角落产生了现代社区。
Whether that was also the case for the earliest Homo sapiens in Australia, which might date to 60, 000 years ago, is unclear. What is quite evident, however, is that after 50, 000 years ago there was a major dispersal of Homo sapiens from Africa which gave rise to modern communities in all corners of the globe.
这一巨大的扩散事件导致了 12， 000 年前印度尼西亚尼安德特人的灭亡和消失，并最终导致了印度尼西亚的弗洛里斯人。尼安德特人不太可能真的被即将到来的智人追杀;由于优越的狩猎、采集，他们根本无法在欧洲景观中争夺资源 以及现代人类的整体生存能力。那些卓越能力的原因是组合语言不是 与“嗯嗯”相比，不仅提供了一种优越的信息交换方式——无限的话语范围——而且 促成了新的思维方式。因此，要结束本章，我们必须考虑语言的认知影响。
This great dispersal event was responsible for the demise and disappearance of the Neanderthals, and eventually of Homo floresiensis in Indonesia at 12, 000 years ago. It is unlikely that the Neanderthals were actually hunted down by the incoming Homo sapiens; they were simply unable to compete for resources within the European landscapes owing to the superior hunting, gathering and overall survival abilities of modern humans. The reason for those superior abilities is that compositional language not only provided a superior means of information exchange compared with ‘Hmmmmm’ – an unlimited range of utterances – but also enabled new types of thinking. And so, to conclude this chapter, we must consider the cognitive impact of language.
认知流动性的起源
The origin of cognitive fluidity
在这里，我们可以回到《心灵的史前史》的中心论点。35 我论证说，智人的思想与所有其他原始人的思想有着根本的不同，无论是像 Homo helmei 这样的直系祖先还是像尼安德特人这样的亲戚。他们拥有上述“特定领域”的心态，这种心态是高度适应性的 因为每种类型的智能都是由自然选择塑造的，以提供思维方式和知识类型 适合解决其相关行为领域内的问题。我论证了有三个关键智能：社会 管理原始人生活的复杂社会世界的情报;用于理解的自然历史情报 动物和植物、天气和季节，以及自然界中对狩猎采集者来说必不可少的任何其他方面 生活方式;以及能够对人工制品，尤其是生产进行复杂操作的技术智能 石器。
Here we can return to the central thesis of The Prehistory of the Mind.35 I argued that the mind of Homo sapiens was fundamentally different from that of all other hominids, whether direct ancestors like Homo helmei or relatives like the Neanderthals. They possessed the ‘domain-specific’ mentality described above, which was highly adaptive because each type of Intelligence’ had been moulded by natural selection to provide ways of thinking and types of knowledge suited for solving problems within its relevant behavioural domain. I argued that there were three key intelligences: social intelligence for managing the complex social world in which hominids lived; natural history intelligence for understanding animals and plants, the weather and the seasons, and any other aspects of the natural world that were essential for a hunter-gatherer lifestyle; and a technical intelligence which enabled the complex manipulation of artefacts and especially the production of stone tools.
正如我所解释的，智人的思维也是基于多元智能的，但还有一个额外的特征：认知流动性。此术语描述 整合来自不同智能的思维方式和知识储存的能力，从而创造出在特定领域的头脑中永远不可能存在的思想类型。 例如，非洲的尼安德特人或前智人不可能获取他们对狮子的知识（来自自然历史情报）并将其与知识相结合 关于人类的思想（来自社会智能），以创造一个具有人类类型思想的类似狮子的生物的想法——一种类型 在所有现代人心中普遍存在的拟人化思维。
As I have explained, the Homo sapiens mind is also based on multiple intelligences, but has one additional feature: cognitive fluidity. This term describes the capacity to integrate ways of thinking and stores of knowledge from separate intelligences so as to create types of thoughts that could never have existed within a domain-specific mind. For instance, a Neanderthal or pre-sapiens Homo in Africa could not have taken their knowledge of a lion (from natural history intelligence) and combined it with knowledge about human minds (from social intelligence) to create the idea of a lion-like being that had human-type thoughts – a type of anthropomorphic thinking that is pervasive in all modern minds.
那么认知流动性是如何出现的呢？在《心灵的史前史》中，我论证了认知流动性是语言的结果：口头和想象的话语充当了 想法和信息从一个单独的智能流向另一个独立的智能。我过去和现在都完全相信这个想法 是正确的。但我无法就此提出复杂的论点，因为我缺乏必要的哲学专业知识 的思想。幸运的是，我现在有了彼得·卡拉瑟斯（Peter Carruthers）的论点，他是该大学杰出的哲学教授 马里兰州的作者，以准确解释语言如何确实带来了人类心态本质的这种变化。
So how did cognitive fluidity emerge? In The Prehistory of the Mind, I argued that cognitive fluidity was a consequence of language: spoken and imaginary utterances acted as the conduits for ideas and information to flow from one separate intelligence to another. I was, and remain, utterly convinced that this idea is correct. But I was unable to make a sophisticated argument to that effect, lacking the necessary expertise in the philosophy of mind. Fortunately, I now have the arguments from Peter Carruthers, a distinguished professor of philosophy at the University of Maryland, to explain exactly how language did indeed bring about this change in the nature of human mentality.
当我解释考古证据以得出语言创造认知流动性的结论时，彼得·卡拉瑟斯 在语言学、神经科学和 心理学。在他最近的贡献中，一篇题为“语言的认知功能”的重要文章发表在 2002 年，著名期刊 Behavioral and Brain Sciences 上发表文章，提出了语言如何产生这种影响。36 虽然他的术语与我使用的略有不同，指的是认知模块而不是智能， 以及模块间整合而不是认知流动性，Carruthers 认为我们创造的“想象中的句子” 我们的思想允许一个模块/智能的输出与一个或多个其他模块/智能的输出相结合，从而创造 新型的有意识思想。他认为，认知流动的思维通过一种语言学发生在无意识中 被描述为逻辑形式的头脑中的表征“（LF）。这个术语最初是由 Noam Chomsky 引入的，用于描述 语言和认知之间的界面;一些语言表示保持为 LF，另一些则成为想象的句子 在我们的脑海中。
While I was interpreting the archaeological evidence to conclude that language creates cognitive fluidity, Peter Carruthers was arriving at exactly the same conclusion on the basis of philosophical argument informed by linguistics, neuroscience and psychology. In his most recent contribution, a major article entitled ‘The cognitive functions of language’ published in the prestigious journal Behavioral and Brain Sciences in 2002, he proposed how language has this effect.36 Although his terminology is slightly different from that which I use, referring to cognitive modules rather than intelligences, and inter-modular integration rather than cognitive fluidity, Carruthers argues that the ‘imagined sentences’ we create in our minds allow the outputs from one module/intelligence to be combined with those from one or more others, and thereby create new types of conscious thoughts. He suggests that cognitively fluid thought occurs in the unconscious through a type of linguistic representation in the mind described as logical form’ (LF). This term was originally introduced, by Noam Chomsky to describe the interface between language and cognition; some linguistic representations remain as LF, others become imagined sentences within our minds.
为了完善他的解释，卡拉瑟斯相当强调句法，这是构图的重要组成部分 语言。语法允许形容词和短语的多次嵌入，递归现象经常出现 在本书中被提及。因此，Carruthers 认为，语法将允许一个虚构的句子由一种类型生成 的认知模块/智能被嵌入到来自不同模块/智能的另一个假想句子的句子中。因此，将创建一个虚构的句子，这将产生一个跨模块的或认知流动的思想—— 没有组合语言就不可能存在。
In an attempt to refine his explanation, Carrathers places considerable emphasis on syntax, an essential part of compositional language. Syntax allows for the multiple embedding of adjectives and phrases, the phenomenon of recursion that has frequently been referred to in this book. And so, Carruthers argues, syntax would allow one imaginary sentence generated by one type of cognitive module/intelligence to be embedded into that of another imaginary sentence coming from a different module/intelligence. Thus a single imaginary sentence would be created, which would generate an inter-modular, or cognitively fluid, thought – one that could not have existed without compositional language.
因此，通过分割，组合语言从“嗯嗯”中出现，这反过来又改变了人类思维和背景的性质 我们的物种走上了导致全球殖民的道路，并最终结束了狩猎和采集的生活方式 自从 200 多万年前第一个 Homo 物种出现以来，它就一直存在着。几乎在 10， 000 年前最后一个冰河时代结束的时候，农业就 在全球多个地方发明，导致了第一批城镇和早期文明——一段非凡的历史 我在《冰之后》一书中叙述了这种变化。但我们仍然有一个问题需要解决：“嗯嗯”怎么了？
So via segmentation, compositional language emerged from ‘Hmmmmm’, which in turn changed the nature of human thought and set our species on a path that led to global colonization and, ultimately, the end of the hunting and gathering way of life that had endured ever since the first species of Homo appeared more than 2 million years ago. Almost as soon as the last ice age finished at 10, 000 years ago, agriculture was invented at several localities around the globe, which led to the first towns and the early civilizations-a remarkable history of change that I recounted in my book After the Ice. But we still have one question to address: what happened to ‘Hmmmmm’?
17 一个谜团被解开，但并没有被削弱
17 A mystery explained, but not diminished
现代人类的分散，与神灵交流，以及“嗯嗯”的残余
Modern human dispersal, communicating with the gods, and the remnants of ‘Hmmmmm’
Schubert’s String Quintet an C Major: an exploration of uncertain memories about a shared ancestral past
音乐是在语言发展之后从“嗯嗯”的残余中产生的。组合性、指涉语言接管了这个角色 如此彻底地进行信息交换，以至于“嗯嗯”变成了一个几乎完全与表达有关的通信系统 情感和群体身份的塑造，这些任务的语言相对无效。确实，已经松了一口气 需要传输和操纵信息，“嗯嗯”可以专注于这些角色，并且可以自由地演变成 我们现在称之为 Music 的通信系统。随着使用语言的现代人类能够发明复杂的乐器， 人体的能力得到扩展和完善，为音乐声音提供了许多新的可能性。 随着宗教信仰的出现，音乐成为与神灵交流的主要方式。以及我学到的东西 从写这本书开始，纵观历史，我们一直在用音乐来探索我们进化的过去——失落的世界 “嗯嗯”的交流——无论是弗朗茨·舒伯特 （Franz Schubert） 创作他的作品、迈尔斯·戴维斯 （Miles Davis） 的即兴创作还是孩子们的鼓掌 在操场上。
Music emerged from the remnants of ‘Hmmmmm’ after language evolved. Compositional, referential language took over the role of information exchange so completely that ‘Hmmmmm’ became a communication system almost entirely concerned with the expression of emotion and the forging of group identities, tasks at which language is relatively ineffective. Indeed, having been relieved of the need to transmit and manipulate information, ‘Hmmmmm’ could specialize in these roles and was free to evolve into the communication system that we now call music. As the language-using modern humans were able to invent complex instruments, the capabilities of the human body became extended and elaborated, providing a host of new possibilities for musical sound. With the emergence of religious belief, music became the principal means of communicating with the gods. And what I have learned from writing this book is that throughout history we have been using music to explore our evolutionary past – the lost world of ‘Hmmmmm’ communication – whether this is Franz Schubert writing his compositions, Miles Davis improvising or children clapping in the playground.
现代人类的分散和音乐考古学
Modern human dispersals and the archaeology of music
50， 000 年前不久就分散到旧世界的现代人类，并在一些 20， 000 年前之后的时间，有语言、音乐和认知流动性。在这些方面，他们会与 那些第一批智人在大约 100， 000 年前冒险进入近东，并在 Skhul 和 Qafzeh 的洞穴中有所体现。那些 “现代人类”仍在使用部分依赖于“嗯嗯”的通信系统，其中语言和音乐 尚未完全分化，并且仅实现了有限的认知流动性。因此，他们的一些想法 并且行为类似于完全“嗯嗯”和认知领域特定的尼安德特人的行为，这可以从 他们制作的石器。
The modern humans that dispersed throughout the Old World soon after 50, 000 years ago, and who entered the New World at some time after 20, 000 years ago, had language, music and cognitive fluidity. In these respects they would have contrasted with those first Homo sapiens who ventured into the Near East at around 100, 000 years ago and are represented in the caves of Skhul and Qafzeh. Those ‘modern humans’ were still using a communication system partially dependent upon ‘Hmmmmm’, one in which language and music had not become fully differentiated and in which only limited cognitive fluidity had been achieved. Hence some of their thought and behaviour was similar to that of the fully ‘Hmmmmm’-ing and cognitively domain-specific Neanderthals, as is evident from the stone tools they made.
图 18音乐和语言的演变。
Figure 18 The evolution of music and language.
图 19 Homo sdpiens 在大约 200,000 年前起源于东云母之后的可能驱散路线和日期。
Figure 19 Likely dispelsal routes and dates of Homo sdpiens following its origin in East mica at around 200,000 years ago.
50， 000 年前进入近东，然后很快进入欧洲的现代人类则大不相同。这是可见的 最引人注目的是在欧洲发现的洞穴壁画、雕刻、墓葬、石制品和骨器，所有这些都是 70， 000 年前在 Blombos 洞穴首次出现的象征性思想的证据。尼安德特人似乎有 通过试图模仿他们的行为来回应他们环境中的新人。事实上，他们自己可能也有 开始通过分割他们自己的尼安德特人版本的“Hmmmmm”来发展组合语言，但时间逆流而上 他们。
The modern humans that entered the Near East and then Europe soon after 50, 000 years ago were quite different. This is seen most dramatically in the cave paintings, carvings, burials, stone artefacts and bone tools found in Europe, all of which are evidence of the symbolic thought that was first apparent at Blombos Cave 70, 000 years ago. The Neanderthals seem to have responded to the new people in their landscape by attempting to imitate their behaviour. Indeed, they may have themselves begun to evolve compositional language by the segmentation of their own Neanderthal version of ‘Hmmmmm’, But time was against them.
尼安德特人种群减少并容易受到气候波动的影响，而气候波动在后者期间往往很严重 冰河时代的阶段。当尼安德特人在 28， 000 年前灭绝，弗洛里斯人在 12， 000 年前灭绝时，维持早期原始人和早期人类社区的“嗯嗯”通信系统也灭绝了 超过两百万年。
The Neanderthal populations dwindled and became susceptible to climatic fluctuations, which were often severe during the latter stages of the ice age. When the Neanderthals became extinct at 28, 000 years ago, and Homo floresiensis at 12, 000 years ago, so did the ‘Hmmmmm’ communication system that had sustained early hominid and Early Human communities for more than two million years.
欧洲现代人类考古记录最引人注目的特征之一是乐器的存在。虽然我对尼安德特人和其他 早期人类的类型可能使用天然或最低限度修改的材料来发出声音——将棍棒敲在一起或敲打在一起 大地吹过芦苇，在空中旋转着一串串的动物或植物纤维——我认为他们不可能制造 仪器。要做到这一点，需要一个认知流畅的头脑，而这正是 Geissenklosterle 的居住者能够 制作世界上已知最早的乐器——可追溯到 36， 000 年前的骨笛。1
One of the most striking features of the modern human archaeological record in Europe is the presence of musical instruments. While I am sympathetic to the idea that the Neanderthals and other types of Early Humans may have used natural or minimally modified materials to make sounds – banging sticks together or on the ground, blowing though reeds, swirling strings of animal or plant fibres in the air – I do not think they could have manufactured instruments. To do so requires a cognitively fluid mind, which is precisely what enabled the occupants of Geissenklosterle to make the earliest known instruments in the world – bone flutes dating to 36, 000 years ago.1
Geissenklösterle 是德国南部的一个洞穴，也是欧洲已知最早的现代人类遗址之一。虽然零碎， 它的长笛与 Divje Babe 声称的尼安德特人长笛完全不同。它们是由 大型鸟类，在保存最完好的标本中被确定为天鹅，每只鸟类至少有三根形状良好的手指 孔，孔 2 和 3 之间的间隙大于孔 1 和 2 之间的间隙。Geissenklösterle 长笛 表面有线性切口，人们认为这些切口要么是所有权标记，要么带有象征意义。
Geissenklösterle is a cave in southern Germany and one of the earliest known sites of modern humans in Europe. Although fragmentary, its flutes are entirely different to the claimed Neanderthal flute from Divje Babe. They were made from the wing bones of large birds, identified as a swan in the case of the best-preserved specimen, and each has at least three well-formed finger holes, arranged with a larger gap between holes two and three than between holes one and two. The Geissenklösterle flutes have linear incisions on the surface, which, one assumes, were either ownership marks or else carried symbolic meanings.
更大的鸟骨乐器样本来自比利牛斯山脉山麓的 Isturitz 洞穴，该洞穴 还生产了欧洲冰河时代遗址中数量最多的艺术品。已经有 20 多个管道标本 自 1921 年首次发现以来被发现。最古老的可以追溯到 35， 000 年前，就像 Geissenklösterle 的长笛一样， 它们展示了精致的工艺。
A much larger sample of bird-bone instruments has come from the cave of Isturitz in the foothills of the Pyrenees, which has also produced the greatest number of art objects of any ice-age site in Europe. More than twenty specimens of pipes have been found since the original discovery in 1921. The oldest may date back to 35, 000 years ago and, like the flutes at Geissenklösterle, they display sophisticated workmanship.
Francesco D'Errico 和 Graham Lawson 最近对几个标本进行了 27， 000 到 20 年的检测， 000 年前的显微镜和声学检查。虽然它们最初可能已经制作了几千年 除此之外，这些标本惊人地相似，都是由秃鹰的翼骨制成的，有四个指孔 成两对。吹嘴没有坚硬的边缘可以吹，所以必须插入嘴里吹气。 可能是插入芦苇;它们是笛子而不是长笛。指孔经过精心加工 位于浅凹面内，确保完全密封，并与 管道的轴。这些特征在有历史记载的烟斗传统中很常见，通常与吹制有关 从嘴角而不是嘴的中心抽出管道，因为这有助于嘴唇形成牢固的压力密封。
Francesco D’Errico and Graham Lawson have recently subjected several of the specimens that date to between 27, 000 and 20, 000 years ago to micro-scopic and acoustic examination. Although they may originally have been made several thousand years apart, these specimens are strikingly similar, having been made from the wing bones of vultures, with four finger holes arranged in two pairs. The mouthpieces lacked a hard edge to blow against and so must have been inserted into the mouth and blown, probably with the insertion of a reed; they were pipes rather than flutes. The finger holes had been very carefully worked to lie within a shallow concave surface, which ensured a complete seal, and were aligned at a slightly oblique angle to the pipe’s axis. These features are common in historically documented pipe traditions and are usually associated with blowing the pipe from the corner rather than centre of the mouth, as this helps the lips to create a secure pressure seal.
图 20来自德国南部 Geissenklosterle 的骨管（约 120 毫米），可追溯到大约 36,000 年前 世界上已知最古老的乐器。
Figure 20 Bone pipe (c. 120 mm) from Geissenklosterle, southern Germany, dating to around 36,000 years ago and curirently the oldest known musical instrument in the world.
我们应该假设制造这些烟斗的冰河时代的现代人也制造了各种其他乐器。我们当然 要知道他们在一些洞穴中利用了自然构造，因为已经发现石笋用油漆标记和 显示出被击中的明显痕迹。2 在一些洞穴中，绘画似乎是在具有非常明显声学特性的房间里制作的。因此，鉴于我们现在 在安静的崇敬中参观彩绘洞穴，它们可能曾经回荡着笛子的声音、石笋木琴的声音， 唱歌跳舞。
We should assume that the ice-age modern humans who made these pipes also made a variety of other instruments. We certainly know that they made use of natural formations in some of their caves, as stalagmites have been found marked with paint and showing clear traces of having been struck.2 In some caves, paintings appear to have been made in chambers that have very marked acoustic properties. So whereas we now visit painted caves in a hushed reverence, they probably once reverberated with the sounds of pipes, stalagmite xylophones, singing and dancing.
技术、专业知识和精英主义
Technology, expertise and elitism
Geissenklösterle 和 Isturitz 的骨管是使用石器制作的。随着技术的进步 时代，新型仪器成为可能。所有这些都是为了扩展人声的音乐能力 和 body 与物质文化，反映了源自“Hmmmmm”的对音乐创作的进化热情和 打破人类世界和技术世界之间的障碍所需的认知流动性。
The bone pipes of Geissenklösterle and Isturitz were produced by the use of stone tools. As technology advanced through the ages, new types of instruments became possible. All of these were made to extend the musical abilities of the human voice and body with material culture, reflecting both an evolved passion for music-making that originated from ‘Hmmmmm’ and the cognitive fluidity that is required to collapse the barriers between the human and technical worlds.
民族音乐学家布鲁诺·内特尔 （Bruno Nettl） 在他 1983 年的一篇文章中反思了技术进步的影响：
The ethnomusicologist Bruno Nettl reflected on the impact of technological advance in one of his 1983 essays:
陶器的发明增加了水壶鼓和粘土打击乐器，金属制品的发展使之成为可能 黄铜音簧的构造。现代工业技术为高度标准化的仪器提供了机会。 除了乐器之外，复杂建筑的发展为我们提供了剧院和音乐厅、电子产品、 精确再现和不变的表演重复。以此类推，还有数百个其他例子。3
the invention of pottery adds kettle drums and clay percussion instruments, and the development of metal work makes possible the construction of brass gongs. Modern industrial technology provides the opportunity for highly standardized instruments. Beyond instruments, development of complex architecture gives us theater and concert halls, electronics, the possibility of precise reproduction and unchanged repetition of performances. And so on to hundreds of other examples.3
当然，今天我们必须将 Internet 的影响添加到技术继续改变自然的方式中 以及音乐的传播。
Today we must, of course, add the impact of the Internet to the manner in which technology continues to change the nature and dissemination of music.
这样的技术发展既有助于使音乐的可用性民主化，也有助于培养音乐精英。他们 创造了一个音乐无处不在、无处不在的世界——我在第 2 章中提到的世界，其中 我们在机场、购物、手机铃声和打开收音机时都会听到音乐。但是，作为约翰·布莱金 解释说，技术发展也会导致音乐的复杂性，然后被排除在外。4 当被定义为音乐性的技术水平提高时，一些人将被贴上非音乐性的标签，而音乐的本质将被定义为服务于新兴音乐精英的需求。在西方，这些精英拥有 由那些有资源学习复杂乐器（如钢琴和小提琴）并参加古典音乐的人组成 音乐会，他们错误地认为这种类型的活动是音乐，而不仅仅是一种类型的音乐活动。“音乐的骇人听闻的流行”可能并不符合他们的喜好。那 短语是作曲家康斯坦特·兰伯特 （Constant Lambert） 1934 年出版的一本书中的章节标题，他在书中写道：“现在 时代是一个生产过剩的时代，从来没有过如此多的音乐创作和如此少的音乐体验。5
Such technological developments have served both to democratize the availability of music and to create a musical elite. They have created a world in which music is all-pervasive and all around us – the world to which I referred in chapter 2, in which we hear music at airports, when shopping, when our mobile phone rings, and whenever we turn on the radio. But, as John Blacking explained, technological development also leads to musical complexity and then exclusion.4 When the technical level of what is defined as musicality is raised, some people will become branded as unmusical, and the very nature of music will become defined to serve the needs of an emergent musical elite. In the West, this elite has been formed by those who have the resources to learn complex instruments such as the piano and violin, and to attend classical concerts, and who have mistakenly come to believe that this type of activity is music, rather than just one type of musical activity. The ‘appalling popularity of music’ may not be to their liking. That phrase was a chapter title in a 1934 book by the composer Constant Lambert, in which he (in)famously wrote that ‘the present age is one of overproduction never has there been so much music-making and so little musical experience of a vital order’.5
约翰·布莱金 （John Blacking） 一生的民族音乐学研究使他鄙视这种精英主义的音乐观念，这些观念将 音乐能力的标准，并抑制了大众对音乐创作的参与。世界会变得更好，他 想，如果我们都能够通过音乐无意识地交流。6 我同意 – 带回 'Hmmmmm'
John Blacking’s lifetime of ethnomusicological study led him to despise such elitist conceptions of music, which set arbitrary standards of musical competence and inhibited popular participation in music-making. The world would be a better place, he thought, if we were all able to communicate unselfconsciously through music.6 I agree – bring back ‘Hmmmmm’
音乐的宗教和其他功能
The religious and other functions of music
虽然我缺乏任何证据，也怀疑是否能找到任何证据，但我有信心通过 Geissenklosterle 播放的音乐 在冰河时代的彩绘洞穴中吹笛和唱歌具有宗教功能。正如我在第 2 章中指出的，使用音乐进行交流 与超自然现象似乎是所有历史记载和当今人类社会的普遍特征。7 为什么会这样呢？
Although I lack any evidence and doubt if any could be found, I am confident that the music played through the Geissenklosterle pipes and sung within ice-age painted caves had a religious function. As I noted in chapter 2, the use of music to communicate with the supernatural appears to be a universal feature of all historically documented and present-day human societies.7 Why should this be the case?
要回答这个问题，我们必须首先认识到，关于超自然存在的想法是认知的“自然”结果。 这种语言传递给人类思想的流动性，正如我在《心灵的史前史》中详细论述的那样。例如，通过将一个人对人的了解与他对动物的了解结合起来，我们可以想象一个实体，它是一部分 人类和部分动物 - 例如德国 Hohlenstein Stadel 的狮子/人雕像，其历史可以追溯到 33， 000 年前。同样地 通过将一个人对人的了解与他对物理对象的了解结合起来，一个人可以创造出可以 永远活着（像石头一样），在水面上行走（像漂浮的树枝），或者看不见（像我们呼吸的空气）。
To answer this, we must first appreciate that ideas about supernatural beings are a ‘natural’ consequence of the cognitive fluidity that language delivered to the human mind, as I argued at length in The Prehistory of the Mind. By combining, say, what one knows about people with what one knows about animals one can imagine an entity that is part human and part animal-such as the lion/man figurine from Hohlenstein Stadel in Germany dating to 33, 000 years ago. Similarly, by combining what one knows about people with what one knows about physical objects, one can create ideas of beings that can live for ever (like rocks), walk on water (like a floating branch), or are invisible (like the air we breathe).
关于超自然生物的观念是宗教的精髓。8 但是，当这些生物除了在幻觉中之外无法被看到时，我们应该如何与它们交流呢？问题 不仅因为它们既不能被看到也不能被听到，而且它们仍然是定义模糊的实体，因为它们没有 与人类思维的任何进化部分有关，例如“人类”、“动物”甚至简单的“生物”类别。 另一方面，超自然生物通常被认为具有读心术能力——他们知道我们和其他人是什么 想;人类学家帕斯卡尔·博耶 （Pascal Boyer） 将他们描述为“完全的战略代理人”。9 因此，没有必要用语言与他们交流，语言的主要作用是传递信息。 然而，音乐是理想的。
Ideas about supernatural beings are the essence of religion.8 But when such beings cannot be seen, except perhaps during hallucinations, how should one communicate with them? The problem is not only that they can be neither seen nor heard, but that they remain as vaguely defined entities because they do not relate to any evolved part of the human mind, such as the categories of ‘human’, ‘animal’, or even simply ‘living being’. On the other hand, supernatural beings are usually believed to have mind-reading powers – they know what we and everyone else think; they have been described by the anthropologist Pascal Boyer as ‘complete strategic agents’.9 Accordingly, there is no need to communicate with them by language, the primary role of which is the transmission of information. Music, however, is ideal.
在语言发展成为现代人类的主要交流系统后，人们面临着谁的问题 通过音乐进行交流。毕竟，音乐是“Hmmmmm”的衍生物，它本身就是作为一种交流手段而演变而来的。 因此，交际功能不能轻易放弃;现代人类仍然有一种交流的冲动 音乐，就像今天一样。这怎么能实现呢？现在，与其他人的交流要好得多 按语言而不是按音乐，语言前婴儿除外。但在现代人的心目中，现在有另一种类型 他们能够而且应该与之交流的实体：超自然的存在。因此，人类倾向于通过 音乐开始关注超自然现象——无论是通过敲击萨满的鼓还是通过巴赫的作品。
After language had evolved as the principal communication system of modern humans, people were left with the question of who to communicate with through music. Music is, after all, a derivative of ‘Hmmmmm’, which itself evolved as a means of communication, so the communicative function could not easily be dropped; there remained a compulsion among modern humans to communicate with music, as there still is today. How could this be fulfilled? Communication with other humans was now far better achieved by language than by music, other than for prelinguistic infants. But in the minds of modern humans there was now another type of entity with whom they could and should communicate: supernatural beings. So the human propensity to communicate through music came to focus on the supernatural – whether by beating the shaman’s drum or through the compositions of Bach.
音乐在宗教方面也起着次要作用。关于超自然生物的想法是不自然的，因为 它们与我们深入发展的、特定领域的世界理解相冲突。10 因此，它们很难保存在我们的脑海中并传递给他人——例如，尝试向 有人提出圣三位一体的概念，或者在有人向你解释时尝试理解它。马修·戴 （Matthew Day），教授 关于宗教研究，他最近写道，“与神打交道的一个令人困惑的问题是，他们从来都不是 真的在那里';11 因此，我们不仅难以知道如何与他们沟通，而且也难以知道如何思考他们。
Music also plays a secondary role in relation to religion. Ideas about supernatural beings are unnatural in the sense that they conflict with our deeply evolved, domain-specific understanding of the world.10 As a consequence they are difficult to hold within our minds and to transmit to others – try, for instance, explaining to someone the concept of the Holy Trinity, or try understanding it when someone explains it to you. Matthew Day, a professor of religious studies, has recently written, ‘one of the bedevilling problems about dealing with gods is that they are never really there’;11 hence we have difficulty in knowing not only how to communicate with them, but also how to think about them.
在我以前的工作中，我曾论证过，现代人类通过使用提供“认知”的物质符号来弥补这一点 锚点”。12 超自然的存在是否以表征的方式变得有形，就像我们假设的狮子/人的情况一样 Hohlenstein Stadel，或以抽象形式，如基督教十字架，这种物质符号的作用是帮助概念化和 分享自己信仰的宗教实体和思想。这些物体构成了人类思想的延伸，只是 因为乐器延伸了人类的声带和身体。
In my previous work, I have argued that modern humans compensate for this by the use of material symbols that provide ‘cognitive anchors’.12 Whether supernatural beings are made tangible in a representational manner, as we suppose is the case with the lion/man from Hohlenstein Stadel, or in abstract form as in the Christian cross, such material symbols function to help conceptualize and share the religious entities and ideas in which one believes. Such objects constitute an extension of the human mind, just as musical instruments extend the human vocal tract and body.
我之前关于这个问题的争论只集中在物质对象上。但音乐也可以是一个认知锚点和 心灵的延伸。正如一个社区可以通过所有人佩戴相同的物质符号来分享非话语性的宗教思想一样， 他们可以通过制作相同的音乐来做到这一点。以这种方式，音乐在维护和操纵思想方面发挥着积极作用 关于人类头脑中的超自然生物;如果没有音乐和物质符号的这种支持，这些想法将很难思考和分享，除了 对于一个短暂的实例。马修·戴 （Matthew Day） 对此表示赞同：“仪式、音乐、遗迹、经文、雕像和建筑的范围很广 通常与宗教传统相关联，不再仅仅被视为人种学上的锦上添花。而 比起装扮下面正在进行的真实认知过程的薄薄的文化“包裹”，它们开始看起来像 宗教思想相关机制的核心组成部分。13
My previous arguments regarding this issue focused on material objects alone. But music can also be a cognitive anchor and an extension of the mind. Just as a community can share a non-discursive religious idea by all wearing the same material symbol, they can do so by all making the same music. In this manner, music plays an active role in maintaining and manipulating ideas about supernatural beings in the human mind; without such support from music and material symbols, such ideas would simply be too difficult to think about and to share, other than for a fleeting instance. Matthew Day agrees: ‘the broad spectrum of rituals, music, relics, scriptures, statues and buildings typically associated with religious traditions are no longer seen as mere ethnographic icing on the cognitive cake. Rather than thin cultural “wrap arounds” that dress-up the real cognitive processes going on underneath, they begin to look like central components of the relevant machinery of religious thought.’13
娱乐和歌曲的重要性
Entertainment and the importance of song
当然，与超自然生物的交流和促成宗教思想并不是音乐的唯一功能;也不 这些可以与音乐的其他角色隔离开来，因为宗教活动也经常作为社交场合 纽带、情感表达和治愈，所有这些都得到了音乐的支持。事实上，音乐已经发展到可以满足许多不同的人 功能并展示巨大的文化多样性。由于制作音乐是一种进化的倾向，不再需要 它的前身的原始功能之一，因为信息传递是通过语言、社会更好地实现的 已经开始以许多不同的方式使用音乐。因此，我们发现音乐的制作方式和角色存在巨大的文化多样性 它在不同人类社会内部和之间发挥作用。
Communication with supernatural beings and enabling religious thought are not, of course, the only functions of music; neither of these can be isolated from music’s other roles since religious activities frequently also serve as occasions for social bonding, emotional expression and healing, all of which are supported by music. Indeed, music has evolved to meet many diverse functions and to show immense cultural diversity. Since making music is an evolved propensity that is no longer required for one of its precursor’s original functions, because information transmission is much better achieved by language, societies have come to use music in many different ways. Hence we find immense cultural diversity in how music is made and the role it plays, both within and between different human societies.
这些角色之一就是娱乐。“嗯嗯”的进化历史确保了人类的大脑进化到享受 旋律和节奏，这是在被语言取代之前交流的关键特征。在这方面，音乐 与食物和性非常相似。我们这些生活在富裕西方的人吃的食物和性生活比我们生理上吃的要多 需要。我们已经进化到喜欢这两种类型的行为，并且经常仅仅为了娱乐价值而参与它们，尽管 他们在社会纽带中的作用仍在继续。音乐也是一样的：在某些情况下，它仍然提供一些适应性 价值观是“Hmmmmm”的核心，尤其是在塑造群体身份方面;但我们也喜欢制作音乐并追求它 将。
One of these roles is simply entertainment. The evolutionary history of ‘Hmmmmm’ ensured that the human mind evolved to enjoy melody and rhythm, which were critical features of communication before becoming usurped by language. In this regard, music is very similar to food and sex. Those of us living in the affluent West eat more food and have more sex than we biologically require. We have evolved to enjoy both types of behaviour and often engage in them for entertainment value alone, although their roles in social bonding continue. Music is the same: in certain circumstances it still provides some of the adaptive value that was central to ‘Hmmmmm’, especially in forging group identities; but we also enjoy making music and pursue it at will.
在这里，我们必须注意歌曲的重要性——音乐和语言的结合。Song 可以被认为是 recombination 将“Hmmmmm”的两种产品再次整合到一个通信系统中。但是音乐和语言这两个产品是 只有在独立进化一段时间后才会重新组合成它们完全进化的形式。因此，歌曲的好处 来自一种更优越的信息传递方式，以歌词形式存在的作曲语言，比《Hmmmmm》中任何时候都存在， 结合音乐中一定程度的情感表达，这不能单独在作曲语言中找到。此外，这种音乐通常是由乐器产生的，作为延伸 的物质形式的人体本身就是认知流动性的产物。这是 'Hmmmmm' 的分段。
Here we must note the importance of song – the combination of music and language. Song can be considered as the recombination of the two products of ‘Hmmmmm’ into a single communication system once again. But the two products, music and language, are only being recombined after a period of independent evolution into their fully evolved forms. Consequently, song benefits from a superior means of information transmission, compositional language in the form of lyrics, than ever existed in ‘Hmmmmm’, combined with a degree of emotional expression, from music, that cannot be found in compositional language alone. Moreover, that music is often produced by instruments which, as an extension of the human body in material form, are themselves a product of cognitive fluidity. And that is a further consequence of the segmentation of ‘Hmmmmm’.
回到大脑内部
Back inside the brain
在这里，我们应该回到大脑内部，就像我们享受的神经元的放电和化学物质的漩涡一样 音乐的谎言。如第 5 章所述，伊莎贝尔·佩雷茨 （Isabelle Peretz） 使用了 NS 等人的案例历史，这个人失去了 能够识别单词但能够识别旋律，HJ，那个音乐听起来像可怕噪音的人“，以及莫妮卡， 谁患有先天性失忆症，认为大脑内的音乐和语言系统是由一系列 分立模块。她的论点如图 5 所示（第 63 页），并且与进化史完全兼容 我在这本书中提出了这个建议。
Here we should return to look inside the brain, as it is in the firing of neurons and the swilling of chemicals that our enjoyment of music lies. As described in chapter 5, Isabelle Peretz used the case histories of people such as NS, the man who lost his ability to recognize words but could recognize melodies, HJ, the man for whom music sounded like awful noise’, and Monica, who suffered from congenital amusia, to argue that the music and language systems within the brain are constituted by a series of discrete modules. Her argument was represented in Figure 5 (p. 63) and is entirely compatible with the evolutionary history that I have proposed within this book.
一般来说，对心智的进化方法会导致人们期望心智将具有模块化结构。根据 根据我提出的特定进化历史，我们应该预期音高和时间组织具有 Peretz 认为的独立性，因为后者似乎是在较晚的日期演变而来的，与 围绕双足行走的神经和生理变化。同样，我们不应该对 Peretz 发现 先天性失恋的根源在于无法检测到音高的变化，因为从进化的角度来看 这似乎是大脑中音乐系统中最古老的元素。
In general, an evolutionary approach to the mind leads to an expectation that the mind will have a modular structure. In accordance with the specific evolutionary history I have proposed, we should expect pitch and temporal organization to have the degree of independence that Peretz suggests, because the latter appears to have evolved at a later date, being associated with the neurological and physiological changes that surrounded bipedalism. Similarly, we should not be surprised that Peretz found that the root of congenital amusia lies in the inability to detect variations in pitch, because from an evolutionary perspective that appears to be the most ancient element of the music system within the brain.
考虑到进化论，大脑中的音乐和语言系统共享一些模块这一事实也是可以预料的 历史，因为我们现在知道两者都起源于一个系统。相反，他们也 拥有自己的独立模块是长达二十万年独立进化的体现。模块 与音调组织相关的内容曾经是“Hmmmmm”的核心，但现在只为音乐招募（可能 说声调语言的人例外）;而其他 'Hmmmmm' 模块现在可能会被招募到语言系统中 单独 – 也许，例如，那些与语法有关的。这一进化历史解释了为什么脑损伤会影响 如果某些共享模块损坏，则要么单独使用 music（第 4 章），要么单独使用 Language（第 3 章），或者两个系统都可用。
The fact that the music and language systems in the brain share some modules is also to be expected given the evolutionary history I have proposed, because we now know that both originate from a single system. Conversely, the fact that they also have their own independent modules is a reflection of up to two hundred thousand years of independent evolution. The modules relating to pitch organization would once have been central to ‘Hmmmmm’ but are now recruited only for music (with a possible exception in those who speak tonal languages); while other ‘Hmmmmm’ modules might now be recruited for the language system alone – perhaps, for example, those relating to grammar. This evolutionary history explains why brain injuries can affect either music alone (chapter 4), language alone (chapter 3), or both systems if some of the shared modules are damaged.
当然，从当今的心理结构中重建进化历史是极其困难的，如果不是不可能的话。 因为任何一个人大脑中的神经网络既是进化历史的产物（章节 事实上，有些人会争辩说，大脑发育的环境类型是其神经回路的主要决定因素。婴儿出生时 并在以语言为主要听觉交流形式的文化中发展，这会影响神经 在他们的大脑中形成的网络。然而，我们从父母那里继承的基因来自我们的进化 历史，必须引导这种发展;正是这种引导的程度在心理学家中仍然存在着高度的争论。 我自己的观点是，就神经网络的发展方式而言，进化和文化同等重要。 我所期望的只是进化历史和大脑结构之间的广泛兼容性——这确实是看起来的 在场。
It is, of course, profoundly difficult, if not impossible, to reconstruct evolutionary history from present-day mental structures, for the neural networks within any one person’s brain are as much a product of developmental as evolutionary history (chapter 6). Indeed, some would argue that the type of environment within which the brain develops is the principal determinant of its neural circuitry. Babies are born into and develop within cultures that have language as the dominant form of aural communication, and this influences the neural networks that are formed within their brains. Nevertheless, the genes we inherit from our parents derive from our evolutionary history and must channel that development; it is the extent of this channelling that remains highly debated among psychologists. My own view is one that gives equal weight to evolution and culture as regards the manner in which neural networks develop. All I expect is a broad compatibility between evolutionary history and brain structure – and this is indeed what appears to be present.
音乐和语言中“嗯嗯”的残余
Remnants of ‘Hmmmmm’ within music and language
音乐显然保留了 'Hmmmmm' 的许多特征，其中一些非常明显，例如它的情感影响和整体性， 其他的则需要片刻的思考。例如，现在很明显，为什么即使在听乐器演奏的音乐时也是如此 我们将音乐视为虚拟人，而不是人声，并赋予它一种情感状态，有时还赋予它一种个性 和意图。现在也很清楚为什么这么多音乐的结构就像在音乐中发生对话一样 本身，以及为什么我们经常直觉地认为一首音乐应该具有附加意义，即使我们不能 明白那可能是什么。
Music evidently maintains many features of ‘Hmmmmm’, some quite evident, such as its emotional impact and holistic nature, others requiring a moment’s reflection. It is now apparent, for instance, why even when listening to music made by instruments rather than the human voice, we treat music as a virtual person and attribute to it an emotional state and sometimes a personality and intention. It is also now clear why so much of music is structured as if a conversation is taking place within the music itself, and why we often intuitively feel that a piece of music should have a meaning attached to it, even though we cannot grasp what that might be.
“嗯嗯”的残余和反射也可以在语言中找到。也许最明显的是语言的习得 由婴儿。
Remnants and reflections of ‘Hmmmmm’ can also be found in language. Perhaps the most evident is in the acquisition of language by infants.
自 19 世纪末以来，科学家们一直在争论各个阶段之间是否存在对应关系 我们在人类进化过程中经历的阶段以及胎儿或婴儿在发育过程中经历的阶段。最强 这种论点的形式被称为 recapitulation，由 Ernst Haeckel 于 1866 年以以下形式提出：'个体发育是 系统发育的简短而快速的概括”。无论这个理论是否有任何价值，我关心的是 关于语言发展的一般论点。14 当然，婴儿导向的言语（IDS，如第 6 章所述）的最早阶段是否可能是 类似于早期人类对婴儿使用的“嗯嗯”类型，因为在这两种情况下，婴儿都缺乏语言能力 但需要支持他们的情绪发展。
Ever since the late nineteenth century, scientists have debated whether there is a correspondence between the stages through which we passed during human evolution and the stages through which a foetus or infant passes during development. The strongest form of this argument is referred to as recapitulation, and was proposed by Ernst Haeckel in 1866 in the form: ‘ontogeny is the short and rapid recapitulation of phylogeny’. Whether or not that theory has any value, my concern is with a far more general argument concerning the development of language.14 It is, of course, whether the earliest stages of infant-directed speech (IDS, as described in chapter 6) are likely to be similar to the type of ‘Hmmmmm’ used by Early Humans to their infants, since in both cases the infants lack a language capability but need support for their emotional development.
如果存在相似之处——我强烈怀疑存在——那么当我们听到母亲、父亲、兄弟姐妹和其他人“交谈”时 对于婴儿来说，我们是否听到了当今世界上能找到的最接近“嗯嗯”的声音？现代 IDS 使用文字 以及 'ooohs' 和 'aaahs'，但这些词对婴儿来说毫无意义，只是为婴儿提供了更多有趣的声音字符串。以及 IDS 的内容，以及它所处的环境 used 也可能与我们过去的进化非常相似。在郊区的家中，智人的母亲会有同样的倾向，为她的婴儿唱歌，让它笑、摇晃和跳舞，就像以前一样 非洲阳光下的 Homo ergaster 母亲和冰河时代洞穴中的 Homo neanderthalensis 母亲。在每种情况下，当与婴儿身体分开时，他们都会安慰他们，并使 然后学习沟通和情感表达。
If there is a similarity – and I strongly suspect there is – then when we hear mothers, fathers, siblings and others ‘talking’ to babies, are we perhaps hearing the closest thing to ‘Hmmmmm’ that we can find in the world today? Modern-day IDS uses words along with ‘ooohs’ and ‘aaahs’, but those words are quite meaningless to the infants and simply provide further acoustically interesting sound strings for the infant to hear. As well as the content of IDS, the contexts in which it is used may also be strongly similar to those of our evolutionary past. The Homo sapiens mother in her suburban home will have the same propensity to sing to her infant, to make it laugh, jiggle and dance, as did the Homo ergaster mother under the African sun and the Homo neanderthalensis mother in an ice-age cave. In each case, they will be comforting their babies when physically separate from them, and enabling then to learn about communication and emotional expression.
IDS 和古老的“Hmmmmm”之间的任何相似性在婴儿一两岁时开始减弱，也就是他们 开始分割声音字符串并获取组合语言的词典和语法。这本身就反映了 “Hmmmmm”分化为音乐和语言两个独立系统的进化过程。对于现代婴儿， 这也是对绝对音高的偏向被相对音高的偏向所取代的时候，这种发展 促进语言学习，但抑制音乐学习 – 除非有强烈的音乐体验 和/或保持完美音高的遗传倾向。
Any similarity between IDS and ancient ‘Hmmmmm’ starts to diminish by the time the babies reach one or two, the age when they begin segmenting sound strings and acquiring a lexicon and a grammar for compositional language. This in itself mirrors the evolutionary process of the differentiation of ‘Hmmmmm’ into two separate systems of music and language. With modern-day infants, this is also the time when a bias towards absolute pitch is replaced by a bias towards relative pitch, a development that facilitates language learning but inhibits music learning – except in those cases where there are either intense musical experiences and/or a genetic predisposition to maintain perfect pitch.
如果 IDS 是 'Hmmmmm' 的一个残余，那么另一个是说话时使用自发的手势。正如我在章节中解释的那样 2、手势和身体动作经常传达信息以补充所说的内容。侦听器/观察者可以是 完全不知道他/她收到的一些信息来自手势，而不是听到的文字。 自发的手势保持了 “Hmmmmm” 的关键特征——它们是整体性的，通常既是操纵性的，也是模仿性的。有 我们没有进化/发展语言，我们可能更有效地从这些手势中推断信息，并且会 在这种手势被认为是一种关键的交流方式，而不是一种奇怪的宿醉的文化中长大 来自我们的进化历史。
If IDS is one remnant of ‘Hmmmmm’, then another is the use of spontaneous gestures when speaking. As I explained in chapter 2, hand signals and body movements often convey information to supplement what is being said. The listener/watcher may be quite unaware that some of the information he/she is receiving is coming from the gesture rather than the words being heard. Spontaneous gestures maintain the key features of ‘Hmmmmm’-they are holistic and often both manipulative and mimetic. Had we not evolved/developed language we might be far more effective at inferring information from such gestures, and would have grown up in a culture where such gesturing was recognized as a key means of communication, rather than as a curious hangover from our evolutionary past.
“Hmmmmm”最重要的生存是在语言本身中。其中一个方面是拟声词的存在，人声 模仿和声音联觉，这可能在现代人的语言中最为明显，他们仍然 过着传统的生活方式，“亲近自然”。另一个是节奏的使用，它使流畅的对话能够 发生。
The most significant survival of ‘Hmmmmm’ is within language itself. One aspect of this is the presence of onomatopoeia, vocal imitation and sound synaesthesia, which are probably most readily apparent in the languages of present-day people who still live traditional lifestyles and are ‘close to nature’. Another is the use of rhythm, which enables fluent conversations to take place.
然而，也许最重要的是，只要有可能，我们就会倾向于使用整体话语。虽然 语言的创造能力当然来自于它的构成性质——单词与语法的结合——a 大量的日常交流是通过整体话语或更常被称为“公式化短语”的话语进行的。 这是艾莉森·雷 （Alison Wray） 2002 年出版的《公式化语言和词典》一书的主要论点，这本书对我自己的思考产生了很大影响。她将公式化短语描述为“预先存储在多词单位中以便快速使用 检索，无需应用语法规则”。15 在第 2 章中，我举了成语的例子，例如“直接从马嘴里”和“戳中的猪”，而雷 提供了更多示例，这些示例通常是用作问候语或命令的短语：'Hello， How are you？'， 'watch where you're 要去“、”远离草地“、”对不起“、”你怎么敢“16
Perhaps of most significance, however, is our propensity to use holistic utterances whenever the possibility arises. Although the creative power of language certainly derives from its compositional nature – the combination of words with grammar – a great deal of day-to-day communication takes place by holistic utterances, or what are more frequently called ‘formulaic phrases’. This is the principal argument of Alison Wray’s 2002 book entitled Formulaic Language and the Lexicon, which has been so influential on my own thinking. She describes formulaic phrases as ‘prestored in multiword units for quick retrieval, with no need to apply grammatical rules’.15 In my chapter 2, I gave the example of idioms, such as ‘straight from the horse’s mouth’ and ‘a pig in a poke’, while Wray provides many more examples which are often phrases used as greetings or commands: ‘hello, how are you?’, ‘watch where you’re going’, ‘keep off the grass’, ‘I’m sorry’, ‘how dare you’16
对雷关于公式化短语的普遍性和性质的观点的批评者指出，大多数人实际上确实符合要求 到语法规则，显然是由单词构成的。17 因此，他们依赖于组合语言的先验存在。这是真的，但错过了重点。即使我们 拥有组合语言，我们倾向于在适当的时候使用公式化的短语/整体话语 机会出现。这些通常是经常重复的社交场合，例如问候朋友（“你好，你好吗？ 以及坐下来吃饭（“Bon Appetit”），尤其是与我们已经有大量知识的人在一起 和经验，例如我们亲密的家庭成员。有人可能会争辩说，我们使用这种公式化的短语只是为了减少 每当我们想说某事时，都必须将单词与语法规则放在一起的脑力劳动。但在我看来， 它们在我们日常用语中的频率反映了语言的进化历史，数百万年来，这段历史是基于 仅整体短语：我们根本无法摆脱这种习惯。
Critics of Wray’s views about the prevalence and nature of formulaic phrases have noted that the majority do actually conform to grammatical rules and are evidently constructed from words.17 They rely, therefore, on the prior existence of compositional language. This is true, but misses the point. Even though we have compositional language, we have a propensity to slip into the use of formulaic phrases/holistic utterances whenever appropriate occasions arise. These are frequently the oft-repeated social situations, such as greeting friends (‘hello, how are you?’) and sitting down to meals (‘bon appetit’), especially in company with people with whom we already share a great deal of knowledge and experience, such as the members of our close family. One might argue that we use such formulaic phrases simply to reduce the mental effort of having to put together words with grammatical rules whenever we wish to say something. But to my mind, their frequency in our everyday speech reflects an evolutionary history of language that for millions of years was based on holistic phrases alone: we simply can’t rid ourselves of that habit.
最后，我们应该回顾一下我在第 2 章中提到的那种声音表达形式，它既不能定义为音乐，也不能被定义为音乐 作为语言，同时它同时表现出两者的方面：印度咒语。哲学家弗朗茨·斯塔尔 （Franz Staal） 进行了广泛的研究 的咒语，并得出结论，这些冗长的言语行为没有任何意义或语法结构，并被进一步区分 从他们的音乐性质来看。作为代代相传的相对固定的表达方式，它们可能是， 甚至比 IDS 更接近我们人类祖先的“嗯嗯”话语类型。18
Finally, we should recall that form of vocal expression I referred to in chapter 2, that can be defined neither as music nor as language, while it exhibits aspects of both: Indian mantras. The philosopher Franz Staal has undertaken extensive studies of mantras and concluded that these lengthy speech acts lack any meaning or grammatical structure, and are further distinguished from language by their musical nature. As relatively fixed expressions passed from generation to generation, they are, perhaps, even closer than IDS to the type of ‘Hmmmmm’ utterances of our human ancestors.18
菲尼斯
Finis
1973 年，约翰·布莱金 （John Blacking） 出版了《人的音乐性如何？它以华盛顿大学的约翰·丹兹 （John Danz） 讲座为基础，对布莱金来说，这是一个意想不到的成功。 它由 Faber and Faber 在伦敦出版，并被翻译成多种语言。据布莱金后来的一位同事说： 这本书“对有时相当微不足道的证据，有时甚至根本没有，对 人类与生俱来的音乐能力”。19
In 1973 John Blacking published How Musical Is Man? It was based on the John Danz lectures given at the University of Washington and was, to Blacking, an unexpected success. It was published in London by Faber and Faber and translated into several languages. According to a later colleague of Blacking, the book ‘made bold and sweeping assertions on sometimes rather slender evidence, and occasionally none at all, about the innate musical capacities of humankind’.19
约翰·布莱金 （John Blacking） 对世界各地的社会如何制作和使用音乐有着深刻的了解。然而，他没有， 拥有我在这本书中能够整理和解释的证据类型——来自考古学和 化石记录，关于猴子和猿类，关于儿童发育，以及关于大脑内部发生的事情。我的结论 与约翰·布莱金（John Blacking）在《人的音乐性如何》中相同：“似乎音乐中最终最重要的东西不能像其他文化技能那样学习：它就在那里 在身体中，等待被带出和发展，就像语言形成的基本原则一样”。20
John Blacking had a profound knowledge of how music was made and used in societies around the world. He did not, however, have the types of evidence that I have been able to marshal and interpret within this book-that from the archaeological and fossil record, that about monkeys and apes, about child development, and about what goes on inside the brain. My conclusion is the same as John Blacking’s in How Musical Is Man?: ‘it seems to be that what is ultimately of most importance in music can’t be learned like other cultural skills: it is there in the body, waiting to be brought out and developed, like the basic principles of language formation’.20
我提出的进化史：解释了为什么音乐之间存在如此深刻的相似之处 和语言，以及为什么另一方面有这样的差异，如第 2 章所述。我还解释了那段历史是怎样的 解释音乐和语言在大脑中的构成方式（第 3-5 章），我们如何与婴儿交流（第 3-5 章） 6） 以及音乐对我们情绪的影响（第 7 章），我已经展示了进化方法如何解释我们为什么会这样 经常一起创作音乐（第 14 章）。
The evolutionary history I have proposed: explains why there are on the one hand such profound similarities between music and language, and why on the other there are such differences, as described in chapter 2. I have also explained how that history accounts for how music and language are constituted in the brain (chapters 3-5), how we communicate with infants (chapter 6), and the impact of music on our emotions (chapter 7), and I have shown how an evolutionary approach explains why we so often make music together (chapter 14).
尽管如此，语言仍然不足以描述音乐的本质，并且永远无法削弱它的神秘性 抓住我们的思想和身体。21 因此，我最后的话是请求听音乐。这样做时，想想你自己的进化过去;想 关于您拥有的基因如何代代相传，并为最早的基因提供一条不间断的线路 我们共享的原始人祖先。这种进化的遗传就是你喜欢音乐的原因——无论你的品味如何。
In spite of all this, words remain quite inadequate to describe the nature of music, and can never diminish its mysterious hold upon our minds and bodies.21 Hence my final words take the form of a request listen to music. When doing so, think about your own evolutionary past; think about how the genes you possess have passed down from generation to generation and provide an unbroken line to the earliest hominid ancestor that we share. That evolutionary inheritance is why you like music – whatever your particular taste.
所以，听听 J. S. 巴赫的 C 大调前奏曲，想想南方古猿在树梢巢中醒来，或者戴夫·布鲁贝克的 “Unsquare Dance”，想想 Homo ergaster 的跺脚、拍手、跳跃和旋转。听听维瓦尔第的降 B 大调小号协奏曲，想象 Homo hei-delbergensis 的成员炫耀一把手斧，然后让 Herbie Hancock 的“西瓜人”帮你想象一个庆祝杀戮的狩猎团体，然后 用迈尔斯·戴维斯 （Miles Davis） 的《Kind of Blue》想象他们吃饱了，在树林中安顿下来睡觉。或者干脆 听一位母亲为她的婴儿唱歌，想象一下 Homo ergaster 也在做同样的事情。当你下次听到合唱团的表演时，闭上眼睛，忽略这些词，让过去的画面出现 我想起：也许是阿塔普尔卡的居民处理他们的死者，或者是科姆格纳尔的尼安德特人看着河流 冰随着新的春天的到来而融化。
So listen to J. S. Bach’s Prelude in C Major and think of australopithecines waking in their treetop nests, or Dave Brubeck’s ‘Unsquare Dance’ and think of Homo ergaster stamping, clapping, jumping and twirling. Listen to Vivaldi’s Concerto in B flat Major for trumpet and imagine a member of Homo hei-delbergensis showing off a hand-axe, then let Herbie Hancock’s ‘Watermelon Man’ help you picture a hunting group celebrating a kill, and with Miles Davis’s ‘Kind of Blue’ imagine them satiated with food and settling to sleep amid the security of trees. Or simply listen to a mother singing to her baby and imagine Homo ergaster doing the same. When you next hear a choir perform, close your eyes, ignore the words, and let an image of the past come to mind: perhaps the inhabitants of Atapuerca disposing of their dead, or the Neanderthals of Combe Grenal watching the river ice melt as a new spring arrives.
一旦你听完了，就制作你自己的音乐，解放所有这些仍然存在于你内心的原始人。
Once you have listened, make your own music and liberate all of these hominids that still reside within you.
笔记
Notes
1. 音乐的奥秘
1. The mystery of music
1 舒伯特的 C 大调五重奏的慢乐章被 BBC 电台的听众描述为“最完美的音乐作品” 3 的节目“3 For All”，由 Brian Kay 于 2004 年 12 月 26 日下午 16：30 左右介绍。我对此非常感激 匿名听众和 Brian Kay 在节礼日我从派对开车回家时演奏了这首曲子，并想知道 我应该如何重写我书的序言。
1 The slow movement from Schubert’s Quintet in C was described as ‘the most perfect piece of music’ by a listener to BBC Radio 3’s programme ‘3 For All’, introduced by Brian Kay on 26 December 2004 at approximately 16.30. I am most grateful to that anonymous listener and to Brian Kay for then playing the piece while I was driving home from a party on Boxing Day and wondering how I should rewrite the introduction to my book.
2 Société de Linguistique de Paris 的历史和正在进行的活动清单在其网站上 http://www.slp-paris.com 提供。
2 A history and list of ongoing activities of the Société de Linguistique de Paris is provided on its website http://www.slp-paris.com.
3 例如，参见Arbib （in press）， Bickerton （1990， 1995）， Hurford et al. （1998）， Knight et al. （2000）， Wray （2002b）， Christiansen 和 Kirby （2003）。
3 See, for instance, Arbib (in press), Bickerton (1990, 1995), Hurford et al. (1998), Knight et al. (2000), Wray (2002b), Christiansen and Kirby (2003).
4 达尔文 （1871），布莱金 （1973）。引用布莱金的见解是有用的 世界上有这么多音乐，这是合理的 假设音乐，就像语言和宗教一样，是人类的一个物种特有特征。基本生理和 产生音乐创作和表演的认知过程甚至可能是遗传的，因此存在 几乎存在于每个人身上“（Blacking 1973，第 7 页）。另一个例外是威廉·本松 （William Benzon） 的贝多芬的铁砧 （2001） 和沃林等人编辑的卷 （2000）。考古学家的主要文本，涉及 很少提及人类祖先的音乐和情感能力的 mind 包括 Gibson 和 Ingold （1993）， Renfrew 和 Zubrow （1994）、Mellars 和 Gibson （1996）、Noble 和 Davidson （1996） 以及 Nowell （2001）。
4 Darwin (1871), Blacking (1973). It is useful to cite Blacking’s insight There is so much music in the world that it is reasonable to suppose that music, like language and possibly religion, is a species specific trait of man. Essential physiological and cognitive processes that generate musical composition and performance may even be genetically inherited, and therefore present in almost every human being’ (Blacking 1973, p. 7). Another exception to this neglect is William Benzon’s Beethoven’s Anvil (2001) and the volume edited by Wallin et al. (2000). Key texts by archaeologists that have addressed the evolution of the mind with minimal, if any, mention of the musical and emotional capacities of human ancestors include Gibson and Ingold (1993), Renfrew and Zubrow (1994), Mellars and Gibson (1996), Noble and Davidson (1996), and Nowell (2001).
5 Thomas （1995） 详细讨论了法语写作中音乐和语言之间的关系 启蒙运动，在一本名为《音乐与语言起源》的书中。
5 Thomas (1995) provides a detailed discussion of the relationship between music and language in the writing of the French Enlightenment, in a book appropriately entitled Music and the Origins of Language.
6 Jespersen （1983 [1895]，第 365 页）。我感谢 Alison Wray 提请我注意 Jespersen 的观点和这个具体的 报价。
6 Jespersen (1983 [1895], p. 365). I am grateful to Alison Wray for drawing my attention to Jespersen’s views and this specific quote.
7 例如，莫滕·克里斯蒂安森（Morten Christiansen）和西蒙·柯比（Simon Kirby）是当今最令人印象深刻的两位语言学者。2003 年，他们合编了一本名为《语言进化》的书，他们认为这是“一本关于该主题的权威书籍”。但它在 17 章中的任何一章都没有提到音乐 由“各个学科的知名人士”撰写（Chistiansen 和 Kirby 2003，第 vii 页）。我向任何对此做出贡献的人道歉 如果他们确实提到了音乐，则为 volume;如果是这样，这一定只是顺便说一句，因为我对所有章节都进行了细致的阅读 没有注意到任何此类引用。
7 For instance, Morten Christiansen and Simon Kirby are two of the most impressive linguistic scholars writing today. In 2003 they coedited a book entitled Language Evolution, which they conceived as ‘a definitive book on the subject’. But it failed to mention music in any of the seventeen chapters written by the ‘big names in every discipline’ (Chistiansen and Kirby 2003, p. vii). I apologize to any contributors to that volume if they did indeed mention music; if so, this must have been only in passing, as my meticulous reading of all chapters failed to note any such reference.
8 当然，这是对一个更复杂情况的粗略简化。语言非常擅长传播某些类型 的信息，例如有关社会关系的信息，但不太擅长其他类型的信息，例如如何打结。一些 语言学家认为，传递信息可能不是语言的主要功能，他们更愿意强调它的作用 在概念形成和创造性思维方面。Carruthers （2002） 讨论了语言的认知功能。
8 This is, of course, a gross simplification of a more complex situation. Language is extremely good at transmitting some types of information, such as that concerning social relationships, but less good at other types, such as how to tie knots. Some linguists believe that transmitting information may not be the main function of language, preferring to emphasize its role in concept formation and creative thought. Carruthers (2002) discusses the cognitive functions of language.
9 我问这个问题是出于修辞的原因，因为很明显，音乐有许多不同的功能，这将是 在我的书中被多次提及。Merriam （1964） 列出了音乐的十大功能：情感表达、审美 享受、娱乐、交流、象征性代表、身体反应、执行社区和社会规范， 社会制度和宗教仪式的验证，对文化的连续性和稳定性的贡献，贡献 到社会的融合（引自 Nettl 1983，第 149 页）。
9 I am asking this for rhetorical reasons, as it is quite clear that music has numerous different functions, which will be variously referred to throughout my book. Merriam (1964) listed ten major functions of music: emotional expression, aesthetic enjoyment, entertainment, communication, symbolic representation, physical response, enforcing community and social norms, validation of social institutions and religious rituals, contribution to the continuity and stability of culture, contribution to the integration of society (cited in Nettl 1983, p. 149).
10 Pinker 和 Bloom （1995） 为语言能力的逐渐演变提出了最有说服力的论点 自然选择，而 Jackendoff （1999） 则提出了语言进化的可能阶段，基于渐进的 出现简单规则和语法规则。然而，Bickerton （1990） 认为 语言的演变，第一个创造了原始语言，第二个涉及向完全现代的灾难性变化 语言。
10 Pinker and Bloom (1995) made the most persuasive argument for the gradual evolution of language capacity by the process of natural selection, while Jackendoff (1999) has proposed possible stages in the evolution of language, based around the gradual appearance of simple and then grammatical rules. Bickerton (1990), however, has argued for no more than two stages in the evolution of language, the first creating a proto-language and the second involving a catastrophic change to fully modern language.
11 原始语言的两种观点也被称为“综合的”（“组合的”）和“分析的”（“整体的”）。 Tallerman（正在出版）讨论了它们各自的优点，强烈支持综合方法而不是分析方法。
11 The two views of proto-language have also been termed ‘synthetic’ (for ‘compositional’) and ‘analytic’ (for ‘holistic’). Tallerman (in press) discusses their respective virtues, strongly supporting synthetic rather than analytic approaches.
12 比克顿发表了大量关于语言演变的文章，因此很难对他的观点进行任何简单的描述。 他的主要著作包括 Bickerton （1990， 1995， 1998， 2000， 2003） 和 Calvin and Bickerton （2000）。
12 Bickerton has published prolifically on the evolution of language, making any simple characterization of his views difficult. A selection of his key works includes Bickerton (1990, 1995, 1998, 2000, 2003) and Calvin and Bickerton (2000).
13 Jackendoff 的主要著作包括《语言基础》（Foundations of Language，2000 年）和《音调音乐的生成理论》（A Generative Theory of Tonal Music，Lerdahl 和 Jackendoff，1983 年）。Jackendoff （1999） 提出，原始语言中可能存在简单的规则。
13 Key works by Jackendoff include Foundations of Language (2000) and A Generative Theory of Tonal Music (Lerdahl and Jackendoff 1983). Jackendoff (1999) proposes that simple rules might have been present in proto-language.
14 Alison Wray 的作品将在后面的章节中讨论。她关于这个问题的主要出版物是 Wray （1998， 2000， 2002a）。整体原始语言的另一位主要支持者是 Michael Arbib （2002， 2003， 出版中）。与 Wray （1998， 2000） 一样，他认为原始人的话语由任意的声音串组成，而不是 词，他使用“fractionation”一词来表示这些词转化为词的方式。然而，与 Wray 不同的是， 其情境自始至终都暗示着发声，Arbib 认为整体原始语言是通过使用手势发展起来的 并且与镜像神经元的存在有关 （Rizzolatti 和 Arbib 1998）。
14 Alison Wray’s work will be discussed in later chapters. Her key publications on this issue are Wray (1998, 2000, 2002a). The other key proponent of holistic proto-language is Michael Arbib (2002, 2003, in press). Like Wray (1998, 2000), he argues that hominid utterances consisted of arbitrary strings of sounds rather than words, and he uses the term ‘fractionation’ for the manner in which these were transformed into words. Unlike Wray, however, whose scenario implies vocalization throughout, Arbib believes that holistic proto-language developed via the use of gesture and was related to the presence of mirror neurons (Rizzolatti and Arbib 1998).
15 虽然不是严格意义上的进化心理学家，但人们也可以提到 Donald （1991） 对音乐能力的有限关注 在他对认知进化的研究中。
15 Although not strictly an evolutionary psychologist, one might also mention Donald’s (1991) limited concern with musical abilities in his study of cognitive evolution.
16 我并不是要一概否定平克（1997 年，第 529-39 页）的想法，因为他已经形成了一个令人信服的立场，我相信 部分正确，因为我们的音乐能力借鉴了最初进化而来的一系列心理机制 用于其他目的。但是，与平克不同的是，我相信这些背后是一种音乐能力，这种能力是由于 自然和/或性选择。平克指出了人类思想中可能有助于音乐能力的五个领域：语言、 听觉、场景分析、情绪呼唤、栖息地选择和运动控制。最后一个提供了我们对节奏的热爱，因为 行走、跑步、劈砍和挖掘等运动动作在有节奏模式下最有效地执行。
16 I do not mean to dismiss Pinker’s (1997, pp. 529-39) ideas out of hand, as he has developed a cogent position that I believe is partially correct, in the sense that our musical ability draws on a range of mental mechanisms that originally evolved for other purposes. But, unlike Pinker, I believe that underlying these is a musical ability that arose as the result of either natural and/or sexual selection. Pinker specifies five areas of human thought that may contribute to musical ability: language, auditory, scene analysis, emotional calls, habitat selection and motor control. The last provides our love of rhythm, since motor actions such as walking, running, chopping and digging are performed most efficiently in a rhythmic mode.
17 平克（1997 年，第 528 页）。
17 Pinker (1997, p. 528).
18 克罗斯（1999 年;另见克罗斯 2001 年）。他借鉴了我自己以前的工作 （Mithen 1996） 关于认知的重要性 流动性，并提出音乐可能是这种情况出现的手段：“我建议原始音乐的行为 可能在一般发展中发挥功能作用 – 并暗示在认知进化中 – 凭借其多域 属性及其浮动意图“（Cross 1999，第 25 页）。
18 Cross (1999; see also Cross 2001). He draws on my own previous work (Mithen 1996) regarding the significance of cognitive fluidity and proposes that music may have been the means by which this emerged: ‘I am suggesting that proto-musical behaviours may play a functional role in general development – and by implication, in cognitive evolution – by virtue of their multi-domain properties and their floating intentionalities’ (Cross 1999, p. 25).
19 最近对音乐的进化基础及其与语言的关系重新产生兴趣的关键基础 是 Nils Wallin 1991 年出版的名为《生物音乐学》的书。这是他对人脑、生理学、听觉和 声乐系统。1997 年，Wallin 和两位同事在佛罗伦萨组织了一次题为“音乐的起源”的会议，会议记录 其中发表于 2000 年（Wallin 2000）。
19 A key foundation for the recent resurgence of interest in the evolutionary basis of music and its relationship to language was Nils Wallin’s 1991 book entitled Biomusicology. This was a synthesis of his research into the biological basis of music in the human brain, physiology, and auditory and vocal systems. In 1997 Wallin and two colleagues organized a conference in Florence entitled ‘The Origins of Music’, the proceedings of which were published in 2000 (Wallin 2000).
拥有来自语言学、人类学、心理学和动物学以及音乐学领域的 30 多名撰稿人 这本书本身，不仅对平克，而且对像我这样忽视音乐的人也提供了适当的反驳 在我们对人类思想的研究中。
With over thirty contributors from the fields of linguistics, anthropology, psychology and zoology, as well as musicology itself, this volume provided a suitable riposte not only to Pinker, but also to those like myself who have neglected music in our studies of the human mind.
然而，虽然《音乐的起源》可能揭露了人类进化中对音乐的忽视，但它完全无法填补这一空白。大自然也是如此 在经过编辑的跨学科书籍中，每位作者似乎都从自己高度专业化且相当独特的角度看待音乐的起源。这通常与 另一位专家在同一本书中写作的观点。由此产生的卷数完全无法提供一个连贯的解释 关于音乐是如何演变的，以及它与语言和人类思维的其他特征的关系。事实上，人类进化有一个 在《音乐的起源》中，部分相对较小，因为它以动物发声和推测理论的研究为主，证据基础有限 化石和考古记录。此外，大量与音乐起源相关的材料相当缺乏 从那卷开始，自出版以来又出现了更多内容，特别是关于音乐的生物学基础 大脑。它的撰稿人——以及其他任何写音乐或进化论的人——似乎都没有意识到已经发生了什么 对我来说很明显：尼安德特人的大脑是用来进行类似音乐的交流，而不是类似语言的交流。
However, while The Origins of Music may have exposed the neglect of music in accounts of human evolution, it was quite unable to fill the gap. As is the nature of edited, interdisciplinary volumes, each author seemed to view the origins of music from their own highly specialized and rather idiosyncratic perspective. This would often conflict with the views of another specialist writing in the same book. The resulting volume was quite unable to provide a coherent account of how music evolved and its relationship to language and other features of the human mind. In fact, human evolution had a relatively minor part in The Origins of Music, as it was dominated by studies of animal vocalizations and speculative theories with limited grounding in the evidence from the fossil and archaeological records. Moreover, a great deal of material relevant to the origins of music was quite lacking from that volume, and more has appeared since its publication, especially as concerns the biological basis of music within the brain. None of its contributors – nor anyone else writing about music or evolution – seems to have realized what has become quite obvious to me: that Neanderthal big brains were used for music-like, rather than language-like, communications.
20 Tolbert （2001） 大量借鉴了 Donald （1991） 关于拟态的研究。
20 Tolbert (2001) draws heavily on the work of Donald (1991) regarding mimesis.
21 班南 （1997）。虽然不是（据我所知）音乐学家，但 Vaneechoutte 和 Skoyles （1998） 也认为歌唱 在进化上优先于语言。
21 Bannan (1997). Although not (as far as I know) musicologists, Vaneechoutte and Skoyles (1998) have also argued that singing has an evolutionary priority over language.
22 邓巴 （2004）。
22 Dunbar (2004).
“23 布莱金写道，”'音乐'话语本质上是非语言的，尽管显然，词语在许多方面影响着它的结构 例;而用口头语言来分析非语言则有可能扭曲证据。因此，“音乐”是， 严格来说，一个不可知的真理和关于音乐的论述属于形而上学的领域。这取自 布莱金 1984 年的文章题为“音乐、文化和体验”，最初发表在《南非音乐学杂志》上;我借鉴了 Byron （1995） 的编辑版本，他将其描述为提供了“布莱金最简洁、最有说服力、 以及对他后来的理论观点的全面陈述”。
23 Blacking wrote that ‘“Musical” discourse is essentially nonverbal, though, obviously, words influence its structures in many cases; and to analyse non-verbal languages with verbal language runs the risk of distorting the evidence. “Music” is therefore, strictly speaking, an unknowable truth, and discourse about music belongs to the realm of metaphysics.’ This is taken from Blacking’s 1984 essay entitled ‘Music, culture and experience’ originally published in the South African Journal of Musicology; I have drawn on the edited version in Byron (1995) who describes it as providing one of ‘Blacking’s most concise, cogent, and comprehensive statements of his later theoretical views’.
24 当然，语言和音乐多样性产生的过程在一定程度上受到 人类的思想，因为这决定了有意识和无意识的选择，关于语言和 个人的音乐元素。还有人声称，这种多样性可能提供一些关于起源的线索。布鲁诺·内特尔， 伊利诺伊大学的音乐学家，可以说是当今最杰出的民族音乐学家，他写道 “关于音乐起源的唯一可靠指南是已知的大量当代和近代音乐 对我们来说“（Nettl 1983，第 171 页）。我不同意：虽然承认此类音乐的性质，尤其是多样性很重要， 然而，它们是自第一首音乐出现以来十万多年文化进化的产物 ——或者至少这将是我的主张。在这方面，我遵循布莱金（Blacking，1973 年，第 55 页），他描述了对 活着的人的音乐实践作为理解音乐起源的一种手段，是一种“徒劳的练习”。正如我们不应该期望通过检查所说语言的多样性来找到语言的起源一样 今天，我们也不应该期望对音乐这样做，尽管布莱克宁对这个问题的评论似乎相当极端：“投机性 世界音乐史完全是浪费精力“（Blacking 1973，第 56 页）。事实上，我的一个论点是 音乐相对不受约束;一旦制作音乐的能力发展起来，它就可以以多种方式表达 原因有很多。尽管我会经常借鉴布鲁诺·内特尔 （Bruno Nettl） 对音乐的理解 这个世界，我自己关于其起源的“可靠指南”与人脑、婴儿发育、心理学完全不同 的情感，以及非人类灵长类动物的交流系统。当然，还有考古学和化石记录， 这在我书的第二部分有介绍。
24 The process by which linguistic and musical diversity arises is, of course, partly conditioned by the evolved nature of the human mind, as this conditions what choices, conscious and unconscious, are made regarding the adoption of linguistic and musical elements by individuals. It is also claimed that the diversity may provide some clues about origins. Bruno Nettl, a musicologist from the University of Illinois and arguably the most distinguished ethno-musicologist working today, has written that ‘the only even remotely reliable guide to the origins of music is the plethora of contemporary and recent musics known to us’ (Nettl 1983, p. 171). I disagree: while acknowledging the nature and especially the diversity of such musics is important, they are nevertheless the product of more than a hundred thousand years of cultural evolution since the first music arose – or at least that will be my claim. In this regard I am following Blacking (1973, p. 55), who described the study of the musical practices of living people as a means of understanding the origin of music as a ‘futile exercise’. Just as we should not expect to find the origin of language by examining the diversity of languages spoken today, neither should we expect to do this for music, although Blacking’s comment on this issue appears rather extreme: ‘Speculative histories of world music are a complete waste of effort’ (Blacking 1973, p. 56). Indeed, one of my arguments will be that music is relatively unconstrained; once the capacity for making music had evolved, it could be expressed in a great many ways for a great number of different reasons. Although I will frequently draw upon Bruno Nettl’s understanding of musics throughout the world, my own ‘reliable guides’ to its origin are quite different the human brain, infant development, the psychology of emotion, and the communication systems of non-human primates. And also, of course, the archaeological and fossil record, which is covered in the second part of my book.
25 鸟鸣和鲸鱼的歌声至少与人类音乐有一个共同点，而这个特征在任何其他动物的叫声/歌声中都是找不到的。 甚至包括我们最亲近的亲戚非洲猿类。这就是生物学家彼得·马勒（Peter Marler，2000）所描述的 作为 Tearnability”。然而，在我们解决这个问题之前，我们必须考虑将人类音乐和动物歌声联系起来的另一个特征： 'phonocoding' 的。
25 Birdsong and whale song share at least one feature with human music that is not found in the calls/songs of any other animals, even those of our closest living relatives, the African apes. This is what the biologist Peter Marler (2000) has described as Tearnability’. Before we address this, however, we must consider another feature that links human music and animal song: ‘phonocoding’.
发声编码是将无意义的声学元素组合成一个序列 （Marler 2000）。这就是大多数人的本性 动物的叫声;构成黑猩猩的喘息声或夜莺的歌声的单个声学元素没有 意义。据我们了解，将这些元素组合成一个扩展的呼唤或歌曲也缺乏象征性的指涉。 即使是最复杂、最美妙的鸟鸣声，似乎也只不过是在传达鸟的存在，因此它的可用性 用于交配或准备保卫其领土。这里与音乐非常相似，因为两个单独的音符都没有 它们在乐句中的序列也没有象征意义。但音乐和动物的叫声都表达了 情绪并在其他人身上唤起它们。
Phonocoding is the combination of meaningless acoustic elements into a sequence (Marler 2000). This is the nature of the majority of animal calls; the individual acoustic elements that constitute a chimpanzee’s pant-hoot or a nightingale’s song have no meaning. As far as we understand, the combination of such elements into an extended call or song also lacks a symbolic reference. Even the most complex and exquisite birdsong appears to be communicating no more than the bird’s presence, and hence its availability for mating or preparedness to defend its territory. There is a close similarity here with music, as neither individual notes nor their sequence within a musical phrase are symbolically meaningful. But both music and animal calls are expressive of emotions and arouse them in other individuals.
并非所有动物的叫声都缺乏意义。已知一些非人类灵长类动物和鸟类物种会发出警报和食物叫声，这应该 具有象征意义。一个被广泛引用的例子是长尾猴（Cheney 和 Seyfarth 1990），如前所述 在第 8 章中。它有独特的警报声，指的是蛇、猛禽和豹子。当它们被制作出来时，猴子 以适当的方式做出回应 – 例如，在豹子的叫声后爬树，或在地面上环顾四周 如果呼叫指的是一条蛇。这样的呼唤似乎类似于我们在语言中使用的词。但是，正如 Marler 所解释的那样， 它们以不可分割的包形式出现。它们既不能分解成有意义的元素，也不能组合起来创造 emergent 人类能够处理文字的方式的含义。他们也不是像孩子学习 它的语言。
Not all animal calls lack meaning. Some non-human primate and bird species are known to have alarm and food calls that should be characterized as symbolically meaningful. A much-cited example is the vervet monkey (Cheney and Seyfarth 1990), as described in chapter 8. This has distinctive alarm calls referring to snakes, birds of prey and leopards. When they are made, the monkeys respond in an appropriate way – for example, by climbing trees following a leopard call, or by looking around on the ground if the call refers to a snake. Such calls appear to be similar to the words that we use in language. But, as Marler has explained, they come as indivisible packages. They can neither be broken down into meaningful elements, nor be combined to create emergent meanings in the way that humans are able to do with words. Nor are they learnt in the manner as a child learns the words of its language.
虽然所有动物的叫声/歌声都可能被描述为声码的例子，因此与人类有很强的联系 音乐中，“可学习性”在动物世界中受到的限制要大得多。这是从其他人那里学习新的声学元素和乐句，并自发地创造新乐句的能力。可学习性是两者的关键特征 人类的音乐和语言，但在动物世界中却出奇地罕见。在我们最亲近的亲戚中，它是完全不存在的。 非洲猿类。正如将在第 8 章中进一步研究的那样，黑猩猩和大猩猩的叫声天生就被指定; 每个个体都可能有自己特定类型调用的变体，但这些变体在其整个生命周期中都是固定的（参见 Mitani 1996 年对 Ape Calls 的评论）。在最具“音乐性”的灵长类动物长臂猿中也发现了同样的情况。这些参与扩展 唱歌，通常涉及男性和女性的二重唱，这似乎是关于占领领土和社会纽带的。但是 年轻的长臂猿不必学习这样的歌曲，长臂猿在有生之年也无法修改他们的歌曲—— 长臂猿的歌声在出生时在生物学上是固定的（Geissmann 2000）。
While the calls/songs of all animals might be characterized as examples of phonocoding, and hence have a strong link to human music, ‘learnability’ is far more restricted in the animal world. This is the ability to learn new acoustic elements and phrases from other individuals, and spontaneously to create new phrases. Learnability is a key feature of both human music and language but is surprisingly rare in the animal world. It is quite absent in our closest living relatives, the African apes. As will be further examined in chapter 8, chimpanzees and gorillas have their calls innately specified; each individual may have its own variant of a specific type of call, but these remain fixed throughout its lifetime (see Mitani 1996 for a review of ape calls). The same is found among the most ‘musical’ of primates, the gibbons. These engage in extended singing, often involving duets by males and females, which appear to be about claiming territory and social bonding. But the young gibbons do not have to learn such songs, and neither are gibbons able to modify their songs during their lifetime – a gibbon’s song is biologically fixed at birth (Geissmann 2000).
鸣禽则完全不同，因为学习在其声乐发展中起着至关重要的作用（Slater 2000）。这也是 鹦鹉和蜂鸟的情况，表明“可学习性”在 鸟类。唱歌主要是雄性，它们这样做只是为了吸引配偶并阻止其他人进入它们的领地。 一个年轻的男性会从他听到的成年人那里学习一组歌曲;这些将被分解为较短的短语，然后 重新编曲以创建新歌曲目。一些物种获得有限数量的歌曲;其他的，例如 The Winter 雷恩，在其一生中获得了看似无穷无尽的变化——成千上万的歌曲，所有这些都意味着 同样的事情：'我是一个年轻的男性'。
Songbirds are quite different, as learning plays a critical role in their vocal development (Slater 2000). This is also the case for parrots and hummingbirds, indicating that learnability’ has evolved independently at least three times among the birds. It is principally the males that sing, and they do so simply to attract mates and to deter others from their territory. A young male will learn a set of songs from the adults that he hears; these will be broken down into shorter phrases and then rearranged to create a repertoire of new songs. Some species acquire a limited number of songs; others, such as the winter wren, acquire a seemingly endless set of variations throughout their lifetime – many thousands of songs, all of which mean the same thing: ‘I am a young male’.
这种声乐学习和创造性输出类似于人类语言和音乐中的那些，其中一组有限的单词/音符 可用于创建无限的话语/乐句集。另一个相似之处是鸣禽具有 在此期间，它们特别容易学习歌曲，这通常是在孵化后的几个月。这样 幼儿在学习语言时也存在敏感期;如果他们在青春期之前没有获得语言， 也许是由于社会贫困或疾病，那么它只能通过相当大的努力来学习，他们永远不会取得高成就 流利程度。获得音乐技能是否有等效的敏感期尚不清楚。
Such vocal learning and creative output are similar to those found in human language and music, in which a finite set of words/notes can be used to create a infinite set of utterances/musical phrases. Another similarity is that songbirds have a sensitivity period during which they are particularly susceptible to learning song, this often being a few months after hatching. Such sensitivity periods also exist for young children when learning language; if they have not acquired language before adolescence, perhaps due to social deprivation or illness, then it can only be learnt with considerable effort and they never achieve high levels of fluency. Whether there is an equivalent sensitivity period for acquiring musical skills is unknown.
我们必须小心，不要过多地解读鸟鸣和人类语言/音乐之间的类比，因为 存在显著差异。鸣禽仅限于学习自己物种的歌声，即使周围都是 许多不同物种的歌声，在人耳中听起来非常相似。相比之下，儿童可以学习任何语言 他们在敏感期会接触到 – 如果收养，父母会说英语的孩子会学习中文 进入一个说中文的家庭，就像中国孩子学习英语一样容易，尽管这些语言听起来可能听起来不错 与我们截然不同。
We must be cautious not to read more into this analogy between birdsong and human language/music than is appropriate, for there are significant differences. Songbirds are confined to learning the songs of their own species, even if surrounded by the songs of many different species which, to the human ear, sound remarkably similar. In contrast, children acquire any language to which they are exposed during their sensitivity period – a child of English-speaking parents will learn Chinese if adopted into a Chinese-speaking family just as easily as will a Chinese child learn English, even though such languages may sound very different to us.
作曲家和音乐学家 Francois-Bernard Mache （2000） 认为，鸟鸣和 人类音乐不仅仅是那些关于发声编码和可学习性的音乐。他认为人类的一些共同特征很重要 音乐发生在鸟鸣声中。例如，他引用了 aksak 节奏家族，这种节奏存在于东欧和西亚的音乐系统中。这些反对 基本单位的数量不规则，通常由三两个分组，Mache 声称，这也可以在 红腿鹧鸪和红嘴犀鸟。
The composer and musicologist Francois-Bernard Mache (2000) believes that there are far deeper links between birdsong and human music than merely those of phonocoding and learnability. He thinks it significant that some common features of human music occur within birdsong. For an example, he cites the aksak family of rhythms, which are found in musical systems of eastern Europe and western Asia. These oppose an irregular number of basic units, very often grouped by three or two, and this is found too, Mache claims, in the songs of the red-legged partridge and the red-billed hornbill.
其他鸟类在信号中使用稳定而精确的音高集，这是人类音乐的一个特征，但不是语言的一个特征。 尽管它可能类似于中文等声调语言中 pitch 的使用。Mache 引用了巧克力背的翠鸟， 它自己的规模上下移动，其特点是间隔非常小;虽然恰当命名的音乐 雷恩以近乎完美的音阶唱歌。其他鸟儿不仅列举了它们音阶的音调，而且还建立了 “旋律动机 与许多人类成就一样复杂，甚至听起来如此接近它们，以至于人们可能会弄错“（Mache 2000，第 477 页）。更一般地说，鸟鸣包括许多对人类音乐至关重要的重复过程，例如副歌、 押韵、对称和重复。
Other birds use stable and precise sets of pitches in their signals, which is a feature of human music but not of language, although it is perhaps similar to the use of pitch in tonal languages such as Chinese. Mache cites the chocolate-backed kingfisher, which moves up and down its own scale, which is characterized by very small intervals; while the appropriately named music wren sings with a near-perfect scale. Other birds not only enumerate the tones of their scales but also build ‘melodic motives as elaborate as many human achievements, and even sounding so close to them that one might be mistaken’ (Mache 2000, p. 477). More generally, birdsong includes many of the processes of repetition that are so critical to human music, such as refrains, rhymes, symmetry and reprises.
人类音乐和鸟鸣之间的相似性远大于人类音乐和非人类的叫声/歌声之间的相似性 灵长类动物，或者说，任何其他类型的动物——只有一个可能的例外：鲸鱼。康奈尔大学的 Katharine Payne （2000） 花了超过 15 年的时间聆听和分析座头鲸的歌声;当与她的同事们的工作相结合时， 北太平洋和北大西洋的人群已经记录了 30 多年的歌曲。相似之处 对人类的音乐来说是引人注目的。鲸鱼的歌声由长而高度结构化的序列组成，这些序列可以重复很多小时，而且经常是 没有停顿，即使歌手浮出水面。歌曲具有分层结构：音符组合成 短语;这些被组合成主题，其中最多十个出现在任何一首歌曲中;歌曲本身是链接的 一起成循环。
The similarities between human music and birdsong are far greater than those between human music and the calls/songs of non-human primates or, indeed, any other type of animal – with one possible exception: whales. Katharine Payne (2000) of Cornell University has spent over fifteen years listening to and analysing the songs of humpback whales; when combined with the work of her colleagues, more than thirty years’ worth of songs have been recorded from populations in the North Pacific and North Atlantic. The similarities to human music are striking. Whale song consists of long, highly structured sequences which can repeat for many hours, often without pause, even when the singer comes to the surface. The songs have a hierarchical structure: notes are combined into phrases; these are combined into themes, up to ten of which are found in any one song; and the songs themselves are linked together into cycles.
凯瑟琳·佩恩 （Katharine Payne） 和她的同事发现，虽然不同鲸鱼种群的歌声在结构上相似， 它们的内容不同。她将它们与单一人类语言的方言进行了比较。更有趣，并显示更大的 与人类音乐而不是语言的相似之处在于单个种群的鲸鱼歌声随时间变化的方式。
Katharine Payne and her colleagues have discovered that while the songs in different whale populations are similar in structure, they differ in content. She compares them to the dialects of a single human language. Of more interest, and showing a greater resemblance to human music than to language, is the manner in which the whale songs of a single population change over time.
每头鲸鱼都在通过修改它使用的短语和主题以及 这些是组合在一起的。尽管如此，一个群体中的所有鲸鱼似乎都同意哪些主题是稳定的，哪些是稳定的 正在发生变化。似乎没有一头鲸鱼在推动这一变化;每一种似乎都与其他任何一种都一样改变了它的歌声 鲸鱼。但倾听和学习对于他们歌曲的演变至关重要;Payne 建议 过程最好被理解为类似于人类音乐中的即兴创作。它肯定比变化发生得更快 在人类语言中;在十年内，一个人群的歌声可能发生了如此多的变化，以至于人们再也无法识别 它与早期版本的关系。
Each individual whale is constantly altering its song by modifying the phrases and themes it uses, and the manner in which these are combined. Nevertheless, all whales within a single group appear to agree as to which themes are stable and which are changing. No single whale appears to be driving this change; each seems to change its song about as much as any other whale in the population. But listening and learning must be essential to the evolution of their songs; Payne suggests the process is best understood as being analogous to improvisation in human music. It certainly occurs more quickly than change in human language; within one decade a population’s song may have undergone so much change that one can no longer recognize its relation to the earlier version.
我们如何解释人类音乐、鸟鸣和鲸鱼歌声之间的相似之处？如果在黑猩猩的叫声和人类音乐之间发现这种相似之处，我们很容易将它们归因于 这些物种的共同祖先 – 一种生活在大约 600 万年前的类似猿类的生物。但共同的祖先 鸟类、鲸鱼和人类生活在很久以前，并产生了如此多缺乏任何歌唱/音乐能力的物种 毕竟，对于这种相似性来说，这是一个相当不可行的解释。此外，鸟类的生理手段， 人类和鲸鱼实际上产生的歌声是完全不同的。与哺乳动物位于喉咙的喉部不同， 鸟类在两个肺的导管连接形成气管的地方有一个空洞。
How can we explain the similarities between human music, birdsong and whale song? Had such similarities been found between chimpanzee calls and human music we would readily attribute them to a common ancestor of these species – an ape-like creature that lived at around 6 million years ago. But the common ancestor of birds, whales and humans lived so long ago, and has given rise to so many species that lack any song/musical abilities at all, that this is a quite unfeasible explanation for such similarities. Moreover, the physiological means by which birds, human and whales actually generate their songs are quite different. Rather than a larynx located in the throat as in mammals, birds have a syrinx at the point where the ducts from the two lungs join to form the trachea.
鸟鸣和鲸鸣之间的相似之处更容易用趋同进化来解释：自然的和/或性的 选择推动了不断发展的发声装置和神经元网络朝着同一个方向发展，以创建通信系统 同时具有发声编码和可学习性。动物通信系统的主要权威 Marc Hauser 认为，这种 趋同进化表明“脊椎动物大脑如何获得大量复杂学习词汇的重要制约因素 听 起来。这种约束本质上可能迫使自然选择在面对时反复提出相同的解决方案 有类似的问题“（Hauser 等人，2002 年，第 1572 页）。
The similarities between birdsong and whale song are more readily explained by convergent evolution: natural and/or sexual selection has driven the evolving vocal apparatus and neuronal networks in the same direction to create communication systems with both phonocoding and learnability. Marc Hauser, a leading authority on animal communication systems, argues that such convergent evolution suggests ‘important constraints on how vertebrate brains can acquire large vocabularies of complex learned sounds. Such constraints may essentially force natural selection to come up with the same solution repeatedly when confronted with similar problems’ (Hauser et al. 2002, p. 1572).
Pinker （1997） 会让我们相信，人类音乐中留声编码和可学习性的存在是完全不同的 原因 – 从完全不同的进化能力中偶然衍生出来，巧合地与 Whale Song 的关键特征相匹配 和鸟鸣。虽然音乐的可学习性可能源自语言的可学习性，但这似乎不太可能 衍生产品可能已经完全失去了语言的语法和符号特征。一个更有说服力和吝啬的 这个想法是，人类的音乐能力也是作为表达和诱导情感的一种手段而进化塑造的，并且已经趋同起来 与 Birdsong 和 Whale Song 共享属性。这种塑造独立于语言而发生的程度 可以通过深入研究人脑来进一步探索。
Pinker (1997) would have us believe that the presence of phonocoding and learnability in human music is for quite different reasons – a chance spin-off from quite different evolved capacities which coincidentally match the key features of whale song and birdsong. While the learnability of music may be derivative from that necessary for language, it seems unlikely that this spin-off could have so completely lost the grammatical and symbolic characteristics of language. A more persuasive and parsimonious idea is that human musical ability has also been shaped by evolution as a means to express and induce emotions, and has converged to share properties with birdsong and whale song. The extent to which that shaping occurred independently from that of language can be further explored by delving inside the human brain.
2. 不仅仅是芝士蛋糕
2. More than cheesecake
1 Hauser 等人（2002 年，第 1569 页）认为，语言进化领域的许多“激烈辩论”已经出现 未能区分作为通信系统的语言和系统底层的计算。
1 Hauser et al. (2002, p. 1569) argue that many of the ‘acrimonious debates’ in the field of language evolution have arisen from a failure to distinguish between language as a communication system and the computations underlying the system.
2 我同样关心聆听音乐的制作，因此我正在追随约翰·布莱金 （John Blacking） 的领导 在他 1973 年的著作《人的音乐性如何？
2 In being equally concerned with listening as much with the production of music, I am following the lead of John Blacking in his 1973 book, How Musical is Man?
3 内特尔 （1983 年，第 24 页）。希望解决这个问题的读者应该查阅布鲁诺·内特尔 （Bruno Nettl） 的 1983 年的这篇介绍性文章 合集，《民族音乐学研究》，其中讨论了定义问题。
3 Nettl (1983, p. 24). Readers who wish to tackle this question should consult this introductory essay of Bruno Nettl’s 1983 collection, The Study of Ethno-musicology, in which the problem of definition is discussed.
4 Nettl （1983， 第 1 章） 讨论了音乐的不同概念。例如，尼日利亚的豪萨人没有音乐一词，但有与不同文化背景相关的类似音乐的活动的词 他们与这些语言有联系。黑脚印第安人有一个词可以粗略地翻译为“舞蹈”，即 包括音乐和仪式，但不包括不包括舞蹈的“音乐活动”。他们有一个歌词，但是 不是器乐。“音乐作品”的概念可能仅限于西方概念;Nettl （1983 年，章节 8） 描述了民族音乐学家如何应对其他音乐传统中的“调音家庭”概念。
4 Nettl (1983, chapter 1) discusses varying concepts of music. The Hausa of Nigeria, for instance, have no term for music, but have words for music-like activities related to different cultural contexts with which they are verbally associated. The Blackfoot Indians have a word that can be roughly translated as ‘dance’, which includes music and ceremony but does not cover ‘musical activities’ that do not include dance. They have a word for song but not for instrumental music. The very idea of a ‘piece’ of music might be restricted to Western concepts; Nettl (1983, chapter 8) describes how ethnomusicologists have to work with the notion of ‘tune families’ in other musical traditions.
5 John Cage 的 4'33“ 包括 4 分 33 秒的不间断静音，适用于任何乐器或乐器组合。 我有幸收听了 BBC Radio 3 于 2003 年制作的首次无线电广播。
5 John Cage’s 4’33” consists of four minutes and thirty-three seconds of uninterrupted silence for any instrument or combination of instruments. I had the pleasure of listening to its first-ever radio broadcast, made by BBC Radio 3 in 2003.
6 许多语言学家认为这种公式化的话语是语言中微不足道的元素，但雷关于这个问题的书 ——迄今为止我读过的最好的语言学书——表明他们大错特错了（Wray 2002a）。
6 Many linguists dismiss such formulaic utterances as being a trivial element of language, but Wray’s book on this subject – by far the best book on linguistics I have ever read – shows that they are quite wrong (Wray 2002a).
7 参见 Wray 和 Grace（正在出版）。在提出他们的论点时，他们引用了以下内容：瑟斯顿在 1989 年写道，“自从历时 语言学在识字社会中发展起来，主要使用书面材料获取数据，也许这门学科已经发展起来了 有不当的偏见“;奥尔森在 1977 年写道：“乔姆斯基的理论不是一般的语言理论，而是语言的理论 特定的语言形式 它是自主书面散文结构的模型';和 Tomasello，写作 2003 年，“[自发的口语]中几乎没有与”句子“对应的内容”，而“自发的 口语 ...具有自己的属性，这些属性与语言的直观模型不同，在某些情况下非常不同 有文化、受过教育的人在他们的脑海中随身携带”。当然，乔姆斯基确实对 “能力”和“表现”，有时等同于索绪尔在“语言”和“假释”之间绘制的术语。杰肯多夫 （2000 年，第 29-37 页）对乔姆斯基的区别提供了非常有用的评论和部分解释。
7 See Wray and Grace (in press). In making their argument, they cite the following: Thurston writing in 1989 that ‘since diachronic linguistics has developed within literate societies using primarily written materials for data, perhaps the discipline has been unduly biased’; Olson writing in 1977 that ‘Chomsky’s theory is not a theory of language generally but a theory of a particular specialized form of language it is a model for the structure of autonomous written prose’; and Tomasello, writing in 2003 that ‘there is very little in [spontaneous spoken speech] that corresponds to a “sentence” ‘and that ‘spontaneous spoken speech … has properties of its own that are different, in some cases very different, from the intuitive model of language that literate, educated people carry around in their heads’. Chomsky did, of course, draw an important distinction between ‘competence’ and ‘performance’, which is sometimes equated with that drawn by Saussure between ‘langue’ and ‘parole’. Jackendoff (2000, pp. 29-37) provides a very useful review, and part-interpretation, of Chomsky’s distinction.
8 关于咒语缺乏意义的论点，见 Staal （1988）。我非常感谢 Bjorn Merker 将我推荐给 Staal 的 》一书中发表的文章，并评论它与我开发的理论可能相关的内容。
8 For an argument that mantras lack meaning, see Staal (1988). I am most grateful to Bjorn Merker for referring me to Staal’s book and commenting on its possible relevance to the theory I develop.
9 布莱金 （1973） 声称，我们所了解的所有人类社会似乎都有音乐。相似之处和 约翰·斯洛博达 （John Sloboda） 更详细地描述了我在本章中引用的音乐和语言之间的差异 在他 1985 年的书中， 音乐心智.
9 Blacking (1973) claims that all human societies of which we have knowledge appear to have music. The similarities, and the following differences, between music and language that I cite in this chapter are described at greater length by John Sloboda in his 1985 book, The Musical Mind.
10 Nettl （1983， 第 3 章） 讨论了音乐中不同类型的普遍性，以及非常普遍的特征。
10 Nettl (1983, chapter 3) discusses different types of universals in music, and also features that are very widespread.
11 Nettl （1983） 讨论了 Merriam （1964） 的音乐的十项功能，他提倡宗教功能是全世界音乐的普遍特征。
11 Merriam’s (1964) ten functions of music are discussed by Nettl (1983), who promotes the idea that a religious function is a universal feature of music throughout the world.
12 Nettl （1983， chapter 3 – 引文在第40页）强调了文化传播在产生普遍特征中的作用 而我强调的是智人共有的身体和心理倾向。
12 Nettl (1983, chapter 3 – the quote is on p. 40) stresses the role of cultural transmission in generating universal features of music, whereas my emphasis is on the shared physical and psychological propensities of Homo sapiens.
13 布莱金（1973 年，第 8 页）。
13 Blacking (1973, p. 8).
14 布莱金（1973 年，第 47 页）。
14 Blacking (1973, p. 47).
15 Nettl （1983， 第 3 章） 描述了 20 世纪民族音乐学的历史是如何波动的 在对普遍性和多样性的关注之间。Bickerton （2003） 指出，很少有语言学家对此表示担忧 随着语言能力的进化，这意味着他们的兴趣主要在于解释语言多样性。 对后者最有趣的研究是由 Nettle （1999） 进行的。
15 Nettl (1983, chapter 3) describes how the history of ethnomusicology during the twentieth century has been one of fluctuation between a concern with universals and with diversity. Bickerton (2003) has noted that very few linguists have been concerned with the evolution of the language capacity, implying that their interests principally rest with explaining linguistic diversity. The most interesting study of the latter has been undertaken by Nettle (1999).
16 参见 Nettl （1983， 第 4 章） 关于语言和音乐的模糊界限的讨论。多样性的另一个方面 是同一民族的语言和音乐结构之间的关系。Nettl （1983， p. 239） 指出，典型的 一些西非语言的语言声调序列模式似乎会影响它们的旋律的创作方式，而 捷克人和匈牙利人的语言中的话语以重读音节开头，民歌通常以重读音节开头 带有压力节拍。但他指出，“即使在这些情况下，也很难确定音乐是被塑造成适合的 语言的特征，语言的结构决定了音乐风格”。这似乎打消了任何想法 音乐在某种程度上是语言的衍生物。
16 See Nettl (1983, chapter 4) for a discussion about the blurred boundaries of languages and musics. A further aspect of diversity is that between the structures of the language and of the music of the same people. Nettl (1983, p. 239) notes that the typical pattern of linguistic tone sequences in some west African languages seems to affect how their melodies are composed, and that Czechs and Hungarians have languages in which utterances begin with stressed syllables and folk songs that typically begin with stressed beats. But he states that ‘it is difficult to establish, in even these cases, that music was moulded to fit the characteristics of language, that the structure of language determined the musical style’. This appears to quash any notion that music is somehow derivative of language.
17 当然，可以将一种音乐风格转换为另一种音乐风格，例如宝莱坞版本的西方音乐和 1980 年代的经典“流行”版本。
17 There can, of course, be transpositions of one musical style into another, such as Bollywood versions of Western music and the 1980s’ ‘pop’ versions of classics.
18 布莱金（1973 年，第 108-9 页）。
18 Blacking (1973, pp. 108-9).
19 语言起源的手势理论由 Gordon Hewes （1973） 开创，并由 Michael Corballis 进行了大量发展 （2002 年）。最近，它得到了 Arbib 的支持（正在出版）。
19 The gestural theory of language origins was pioneered by Gordon Hewes (1973) and substantially developed by Michael Corballis (2002). Most recently, it has been championed by Arbib (in press).
20 除非另有说明，否则以下关于手势及其与口语关系的文字借鉴了 Beattie （2003）。
20 Unless otherwise specified, the following text about gesture and its relationship to spoken utterances draws on Beattie (2003).
21 参见 Pinker （1994）。
21 See Pinker (1994).
22 我所说的“非正式”是试图将这种歌舞与符合一套文化规则的歌舞区分开来。 需要广泛的培训，例如现代西方社会的芭蕾舞和歌剧。
22 By ‘informal’ I am attempting to distinguish such singing and dancing from that which conforms to set of cultural rules and requires extensive training, such as ballet and opera in modern Western society.
23 布莱金（1973 年，第 100 页）。
23 Blacking (1973, p. 100).
24 平克 （1997， p. 529） 将所有成年人产生语言的能力与能够产生音乐的人的稀缺性进行了对比 作为支持他关于音乐是一种“技术，而不是改编”的论点的一种手段。
24 Pinker (1997, p. 529) contrasts the ability of all adults to produce language with the scarcity of those who can produce music as a means to support his argument that music is a ‘technology, not an adaptation’.
25 Hauser 等人（2002 年）。
25 Hauser et al. (2002).
26 Sloboda （1998， p. 23） 指出，音乐中的代表性是等级性的。他认为音乐语法“决定元素” 在控制或包含相邻元素的音乐序列中，这个过程是递归的，因此 lead 元素 在一个层次上被归入下一个更高的层次（米可能是最简单的元素）”。
26 Sloboda (1998, p. 23) states that representation in music is hierarchical. He suggests that musical grammars ‘determine elements within a musical sequence which control or subsume neighbouring elements, and this process is recursive so that lead elements at one level become subsumed at the next higher level (metre is probably the simplest element of this)’.
27 克罗斯（出版中）。
27 Cross (in press).
28 Auer 等人（1999 年，第 202 页）。
28 Auer et al. (1999, p. 202).
29 这假设我们将单词和注释视为等效单位;将音符等同于语音可能更合适 声音，在这种情况下，它们都缺乏象征意义 （Wray， pers. comm.）。也是一些音符或组合 的注释可能会被赋予一个符号含义，该含义在社区内共享。
29 This assumes that we take words and notes to be equivalent units; it might be more appropriate to equate notes with speech sounds, in which case they would both lack symbolic meanings (Wray, pers. comm.). It is also the case that some notes or combinations of notes might be given a symbolic meaning that becomes shared within a community.
30 对于声音联觉，我将借鉴 Berlin （1992， 2005） 的工作。
30 For sound synaesthesia I will be drawing on the work of Berlin (1992, 2005).
31 克罗斯（正在出版）。
31 Cross (in press).
32 布莱金（1973 年，第 68 页）。民族音乐学家布鲁诺·内特尔（Bruno Nettl，1983 年，第 148 页）举了一个局外人看太阳的例子 黑脚印第安人的舞蹈。对于局外人来说，这主要是一场音乐活动，而不是宗教活动，而 印度人自己把宗教放在首要地位。他还观察到，对于许多西方音乐会观众来说， 参加音乐会主要是一种社交活动，而不是音乐活动，强制性的着装形式证明了这一点。 此类活动的标准长度、中场休息和节目，以及掌声的仪式性。
32 Blacking (1973, p. 68). The ethnomusicologist Bruno Nettl (1983, p. 148) gives the example of an outsider watching the sun dance of the Blackfoot Indians. For the outsider, this would primarily be a musical rather than a religious event, whereas the Indians themselves accord religion the primary role. He also makes the observation that for many concertgoers in the West, attending a concert is primarily a social rather than a musical event, as evidenced by the obligatory forms of dress, the standard length, intermissions and programmes of such events, and the ritualistic nature of applause.
33 查尔斯·皮尔斯 （Charles Pierce） 对符号、符号和图标的区分在许多学术领域被广泛引用和使用，尽管 区别并不像通常暗示的那样明显。图标与其所指对象具有表示关系，如 一幅肖像。一个标志是非表征性的，但与它的所指对象有着非任意的关系——烟雾是火的标志。 迹象可能被普遍理解;人们不必属于特定的文化才能理解它们的用途。 另一方面，一个符号与其所指对象有一种任意的关系，这种关系是由特定文化或 更广泛社区内的亚文化。
33 Charles Pierce’s distinction between symbols, signs and icons is widely cited and used in many academic fields, although the distinctions are not as clear as is often implied. An icon has a representational relationship with its referent, as in a portrait. A sign is non-representational but has a non-arbitrary relationship with its referent – smoke is a sign of fire. Signs are likely to be universally understood; one does not have to belong to a particular culture to understand their use. A symbol, on the other hand, has an arbitrary relationship to its referent which is agreed upon by a particular culture or subculture within a wider community.
34 我很感谢艾莉森·雷 （Alison Wray） 给了我 mae'n flin 'da fi 的例子，让我意识到公式化话语的重要性以及它们与乐句的相似性。
34 I am grateful to Alison Wray for giving me the example of mae’n flin ‘da fi and making me aware of the significance of formulaic utterances and their similarity with musical phrases.
35 典型的例子是 Bernstein （1976）。Sloboda （1985） 回顾了其他寻找音乐语法的尝试，而 Nettl （1983， pp. 212-15） 讨论了语言学方法如何应用于音乐 成功有限。
35 The classic case is Bernstein (1976). Sloboda (1985) reviews other attempts to find musical grammars, while Nettl (1983, pp. 212-15) discusses how linguistic approaches have been applied to music with limited success.
36 Lerdahl 和 Jackendoff （1983）。
36 Lerdahl and Jackendoff (1983).
37 邓普斯特 （1998）。
37 Dempster (1998).
38 邓普斯特 （1998）。然而，语言语法会随着时间的推移而演变。如果不是这种情况，我们会 没有当今世界上存在的 6000 多种语言——假设这些语言源自一个单一的“原始世界” 语言”。而这个数字很可能只是不到一千年前出现的语言的一小部分，因为 语言灭绝的速度。此外，一些语言学家质疑存在这样的事情的概念 作为“通用语法”，意思是所有语言通用的一套固有的语法原则。语法可以简单地 通过使用符号成为交流的新兴属性，并且某些语言可能比其他语言具有更复杂的语法， 尽管这通常被援引所谓的“均变论假说”的语言学家所否认（Kenny Smith， pers. comm.）。
38 Dempster (1998). It is the case, however, that linguistic grammars evolve through time. If this were not the case, we would not have the six thousand or so languages that exist in the world today – assuming that these derive from a single ‘proto-world language’. And this figure is likely to be a small fraction of the languages present less than a millennium ago, in view of the rate at which languages are becoming extinct. Moreover, some linguists question the notion that there is such a thing as ‘universal grammar’, meaning an innate set of grammatical principles that are common to all languages. Grammars may simply be emergent properties of communication by the use of symbols, and some languages may have more complex grammars than others, although this is generally denied by linguists who invoke the so-called ‘uniformitarian hypothesis’ (Kenny Smith, pers. comm.).
爱丁堡大学的 James Hurford 等语言学家使用术语“语法化”来描述单词 可以仅凭借特别频繁的使用而获得专门的语法角色。语法化的关键思想 理论上，“句法组织以及与之相关的显性标记，主要从非句法中出现 词汇和语篇，通过频繁使用特定单词进行组织，该单词获得专门的语法 它以前没有的角色“（Hurford 2003，第 51-2 页）。Hurford 和其他语言学家使用计算机模型来证明 复杂的语法如何从具有少量初始假设且容易出现的简单通信系统中出现 来犯一些小错误。这种计算机模型从模拟的人群开始，这些人群根本没有语言，但会发展起来 交际代码，虽然仍然非常简单，但与人类语言有一些共同特征（Hurford 2003，第 2 页。 53-4）. 主要例子是 Batali （1998， 2002）， Kirby （2000， 2002）， Hurford （2000）。Tomasello （2003）、Davidson （2003） 和 Dunbar （2003） 强调了此类模型对于理解语言进化的重要性——从本质上讲，它们去除了 如何通过简单地将其描述为一种 emergent 属性来解释语法的演变的问题。比克顿 （2003， 第 88 页）对这样的论点不屑一顾：“将其 [即语法] 视为由于自组织或 话语的语法化，或与运动系统或音节结构的类比，或任何其他单段解释 研究语言进化的作家通常希望能逃脱惩罚。
Linguists such as James Hurford of Edinburgh University use the term ‘grammaticalization’ to describe the way in which a word can acquire a specialized grammatical role simply by virtue of particularly frequent use. The key idea of grammaticalization theory is that ‘syntactic organization, and the overt markers associated with it, emerges from non-syntactic, principally lexical and discourse, organization through frequent use of a particular word, that word acquires a specialized grammatical role that it did not have before’ (Hurford 2003, pp. 51-2). Hurford and other linguists have used computer models to demonstrate how complex syntax can emerge from simple communication systems that have small numbers of initial assumptions and are prone to make minor errors. Such computer models start with simulated populations that have no language at all but that develop communicative codes which, though still extremely simple, share some characteristics with human language (Hurford 2003, pp. 53-4). Key examples are Batali (1998, 2002), Kirby (2000, 2002), Hurford (2000). Tomasello (2003), Davidson (2003) and Dunbar (2003) have stressed the significance of such models for understanding the evolution of language – in essence, they remove the problem of how to explain the evolution of syntax by characterizing this simply as an emergent property. Bickerton (2003, p. 88) is dismissive of such arguments: ‘It will just not do to dismiss it [i.e. syntax] as due to self-organization, or the grammaticization of discourse, or analogies with motor systems or syllabic structure, or any of the other one-paragraph explanations that writers on language evolution typically hope to get away with.’
39 平克（2003 年，第 16-17 页）指出，“语言可以传达任何东西，从肥皂剧情节到起源理论 宇宙，从讲座到威胁，从承诺，到问题”。
39 Pinker (2003, pp. 16-17) states that ‘language can communicate anything from soap opera plots to theories of the origin of the Universe, from lectures to threats to promises, to questions’.
40 克罗斯（印刷中）。
40 Cross (in press).
41 斯洛博达（1985 年，第 12 页）。
41 Sloboda (1985, p. 12).
42 以下内容借鉴了 Sloboda （1985）。
42 The following draws on Sloboda (1985).
43 当艾莉森·雷 （Alison Wray） 为我读到这段话时，她发表了以下重要而有趣的评论：“但是，问问音乐学家吧 而不是天真的局外人，他们会说“通过增强和弦从大调过渡到小调是一个绝妙的笔触 厚颜无耻地引用勋伯格和节奏之前的半音下降配得上艾夫斯”。两者之间 你会遇到那些会说“第二个短语会为我的手机制作一个很好的铃声”或“那一点就是这样 我想要我正在制作的电影，它变得非常令人毛骨悚然”。其他人会说 “性能很差 – 太少了 在安静的段落中敏感，后来没有足够的精力”。
43 When Alison Wray read this paragraph for me she made the following import ant and entertaining comment ‘However, ask musicologists rather than naïve outsiders and they will say “the transition from the major to the minor via the augmented chord was a masterstroke of a cheeky reference to Schoenberg and the chromatic descent just before the cadence was worthy of Ives”. Between the two you will get those who will say “that second phrase would make a great ring tone for my mobile” or “that bit is just what I want for the film that I’m making, for where it gets really creepy”. Others will say “the performance was poor – too little sensitivity in the quiet passages and not enough energy later on”.’
44 Carruthers （2002） 最近考虑了语言的认知功能。
44 The cognitive function of language has recently been considered by Carruthers (2002).
45 正如伊恩·克洛斯（Ian Cross）（正在出版）所认识到的那样，“如果没有相互了解的确定性，总会有一定程度的歧义 在语言交流中”。
45 As Ian Cross (in press) has recognized, ‘without the certainty of mutual know ledge there will always be a degree of ambiguity in linguistic communication’.
46 参见 Dunbar （1998， 2004） 和 Mithen （2000） 对心智理论和语言之间关系的讨论。
46 See Dunbar (1998, 2004) and Mithen (2000) for a discussion of the relationshipbetween theory of mind and language.
47 Brown （2000） 非常强调音乐和语言中表现性措辞的存在，认为 这是他们共同的祖先国家的关键特征之一，他称之为“Musilanguage”。
47 Brown (2000) places substantial emphasis on the presence of expressive phrasing in both music and language, arguing that this was one of the key features of their shared ancestral state, which he calls ‘musilanguage’.
48 瓦特和阿什 （1998）。
48 Watt and Ash (1998).
49 斯洛博达（1998 年，第 28 页）。虽然对音乐的某种程度的情感反应是本能的，但也有一个因素 的后天技能。约翰·斯洛博达 （John Sloboda） 举了一个例子，一个没有经验的听众发现莫扎特“苍白、平淡、模糊 “快乐”。一旦听众对莫扎特有了更深入的了解，也许还对情感世界有了更深入的了解，斯洛博达建议 音乐变得“丰富而崇高的表现力”（Sloboda 1985，第 63 页）。
49 Sloboda (1998, p. 28). While a degree of emotional response to music occurs quite instinctively, there is also an element of acquired skill. John Sloboda gives the example of an inexperienced listener finding Mozart ‘pale, insipid, and all vaguely “jolly”‘. Once a listener has gained closer knowledge of Mozart, and perhaps of the emotional world, Sloboda suggests that music becomes ‘richly and sublimely expressive’ (Sloboda 1985, p. 63).
50 迈耶 （1956），库克 （1959）。
50 Meyer (1956), Cooke (1959).
51 关于听觉时大脑运动区域的激活，见Janata and Grafton （2003）。
51 For the activation of motor areas of the brain when listening, see Janata and Grafton (2003).
52 Brown （2000） 已经清楚地概述和讨论了以下替代方案，他还提出了以下可能性： 音乐和语言可能是平行进化的，然后被相对较新进化的神经回路“结合在一起”。 这似乎也不太可能;很难想象如果没有 “原始音乐” 或 “原始语言” 是如何演变的 语言和音乐的共同特征在它们的进化历史中很早就存在了，因为这些特征似乎对它们的本质来说是如此根本。
52 The following alternatives have been clearly outlined and discussed by Brown (2000), who also suggests the possibility that music and language may have evolved in parallel and then become ‘bound together’ by relatively recently evolved neural circuits. This also seems unlikely; it is difficult to imagine how either a ‘proto-music’ or ‘proto-language’ could have evolved without the characteristics that language and music share being in place very early on in their evolutionary history, as these characteristics appear to be so fundamental to their nature.
53 布朗 （2000）。
53 Brown (2000).
54 关于 J.-J.Rousseau's Essai sur Vorigine des langues （1781），见Thomas （1995）。
54 For a discussion of J.-J. Rousseau’s Essai sur Vorigine des langues (1781), see Thomas (1995).
3. 没有语言的音乐
3. Music without language
1 Changeux （1985 年）。这些数字使用了英国对 1 万亿的定义。
1 Changeux (1985). These figures use the UK definition of a trillion.
2 大脑皮层通过四个解剖结构与脑干相连，其中两个相对较小——上丘脑 和丘脑底——其中两个是大脑特别重要的部分——丘脑和下丘脑。大脑 皮层位于丘脑上，这很合适，因为这个名字来源于希腊语中的床。大脑皮层 通过丘脑接收其大部分输入。下丘脑是大脑的一部分，专门控制内部 器官和自动神经系统;它调节饥饿、口渴、性功能和体温。大脑 皮层和这四个解剖结构被称为前脑;从本质上讲，它们是 massively 的产物 脑干末端肿胀。一个肿胀程度相当低的部分形成了所谓的中脑。这有几个不同的解剖学 结构，其中之一是黑质。这包含释放多巴胺的神经元，这是最重要的神经元之一 神经 递 质。如果它不能正常工作，多巴胺产生量不足，肌肉就会失去能力 自由移动，身体动作变得生涩。在中脑后面，人们发现（不足为奇）后脑，它有 另一组解剖结构。其中最值得注意的是小脑。这看起来像是 大脑，因为它有一个高度曲折的表面，外面有一块灰质的 “树皮”。小脑参与细 运动，当它受损时，个体会变得非常笨拙。尽管它只占相对较小的部分 在人脑中，由于大脑皮层的巨大尺寸，小脑占 90% 某些鱼类的总大脑大小，而某些鸟类几乎是一半。后脑直接连接到 脑干，进而通向脊髓和中枢神经系统的其余部分。
2 The cerebral cortex is linked to the brainstem by four anatomical structures, two of which are relatively small – the epithalamus and subthalamus – and two of which are particularly important parts of the brain – the thalamus and hypothalamus. The cerebral cortex lies upon the thalamus, which is appropriate since this name derives from the Greek word for bed. The cerebral cortex receives most of its inputs via the thalamus. The hypothalamus is a part of the brain that specializes in the control of internal organs and the automatic nervous system; it regulates hunger, thirst, Sexual functions and body temperature. The cerebral cortex and these four anatomical structures are known as the forebrain; they are, in essence, the products of a massively swollen end of the brainstem. A rather less swollen part forms what is known as the midbrain. This has several distinct anatomical structures, one of which is the substantia nigra. This contains neurons that release dopamine, which is one of the most important neurotransmitters. If it fails to function correctly, an insufficient amount of dopamine is produced, muscles lose the ability to move freely, and body movements become jerky. Behind the midbrain one finds (not surprisingly) the hindbrain, which has a further set of anatomical structures. The most notable of these is the cerebellum. This looks like a smaller version of the cerebrum, as it has a highly convoluted surface with an outer ‘bark’ of grey matter. The cerebellum is involved in fine motor movements, and when it is damaged the individual becomes very clumsy. Although it constitutes a relatively small fraction of the human brain, owing to the massive size of the cerebral cortex, the cerebellum, constitutes as much as 90 per cent of total brain size in certain fish species, and almost half in certain bird species. The hindbrain is directly connected to the brainstem, which in turn leads into the spinal cord and the rest of the central nervous system.
3 非人类大脑也可以通过单细胞记录等方法进行研究，然后可以推断出 人脑运作。
3 Non-human brains can also be studied by methods such as single-cell recordings, which may then permit inferences as to how human brains function.
4 Damasio 和 Damasio 在 1989 年出版的《神经心理学中的病变分析》一书中提供了描述病变分析如何与脑成像相结合以提供对大脑的见解的经典著作。
4 Damasio and Damasio’s 1989 volume Lesion Analysis in Neuropsychology provides the classic work describing how lesion analysis is integrated with brain imaging to provide insights into the brain.
51 Shebalin 由 Luria 等人 （1965） 描述。
51 of Shebalin is described by Luria et al. (1965).
6 Schlaug 等人（1995 年）。
6 Schlaug et al. (1995).
7 Chan 等人 （1998）。
7 Chan et al. (1998).
8 Mendez （2001） 提供了对 NS 的描述。
8 An account of NS is provided by Mendez (2001).
9 虽然，正如本章和下一章所讨论的，有相当多的工作比较了对 音乐声音和环境声音，我一直无法找到区分这些的正式方法。
9 Although, as covered in this and the following chapter, there is a considerable amount of work comparing the perception of musical and environmental sounds, I have not been able to find a formal means of distinguishing between these.
10 以下叙述借鉴了 Metz-Lutz 和 Dahl （1984）。
10 The following account draws on Metz-Lutz and Dahl (1984).
11 关于语言能力在暂时丧失后如何能够恢复，有几种可能的解释。这 神经网络可能已经受到抑制——例如，由于大脑肿胀，然后恢复正常工作。或者 可能会形成新的神经网络来替换已损坏的神经网络，或者现有网络可能会具有新功能。
11 There are several possible explanations as to how language abilities are able to return following their temporary loss. The neural networks may have become inhibited – for example, by swelling in the brain, and then return to normal working. Alternatively, new neural networks might be formed to replace those that have been damaged, or existing networks might take on new functions.
12 她的医生怀疑这是由于听觉集中持续时间降低，而不是抑制了她的听觉集中能力 节奏。
12 Her doctors suspected that this was due to a lowered auditory concentration span, rather than inhibition of her ability for rhythm.
13 Yaqub 等人（1988 年）。
13 Yaqub et al. (1988).
14 Takahashi et al. （1992） 描述了这种情况。
14 This case is described by Takahashi et al. (1992).
15 这是一个小样本，没有使用对照（即没有任何残疾的个体进行相同的 测试），因此很难知道他的处理节律的能力是否受到了选择性损害。
15 This was a small sample, and without the use of controls (that is, individuals without any impairments undertaking the same tests), so it is difficult to know whether there had been a selective impairment of his ability to process rhythm.
16 Godefroy 等人（1995 年）。
16 Godefroy et al. (1995).
17 这里应该指出的是，音乐“官能”在“专家”的大脑中发展的方式可能大不相同 从音乐系的“正常”发展来看——我感谢 Ilona Roth 的这个警告。
17 It should be noted here that the way in which a music ‘faculty’ develops in the brains of ‘savants’ might be quite different from the ‘normal’ development of the musical faculty – I am grateful to Ilona Roth for this note of caution.
18 以下文本借鉴了 Miller （1989）。
18 The following text draws on Miller (1989).
19 另一个是 LL，一个 20 多岁的男人，从出生起就失明。LL 出生时患有脑瘫和其他各种疾病 先天性异常。他很幸运有非常有爱心的养父母，但他的智力发展非常缓慢。 像 Eddie 和 “Blind Tom” 一样，他早期的语言以 echolalia 为特征;现在，作为一个成年人，他在 口头交流。尽管有这些困难，LL 还是一位才华横溢的钢琴家，尤其是古典钢琴家、乡村钢琴家和西方钢琴家 音乐。曾经有人声称，LL 的音乐天赋是在 16 岁时唤醒他的寄养家庭时才被发现的 在半夜演奏柴可夫斯基的第一钢琴协奏曲。但米勒找到了证据，证明 LL 表现出了兴趣 至少从三岁开始就开始学习音乐;有一次，他被发现一边哼唱一边弹奏床下的床弹簧 一首曲子。他小时候得到了玩具乐器，八岁时他的家人买了一架钢琴。他的养母提供了 非正式的音乐课程，鼓励他发展才能——尽管她积极劝阻 LL 对乡村音乐和西方音乐的特别喜欢。
19 Another is LL, a man in his twenties who had been blind since birth. LL had been born with cerebral palsy and various other congenital anomalies. He was fortunate in having very caring foster parents, but his mental development was extremely slow. Like Eddie and ‘Blind Tom’, his early language was characterized by echolalia; now, as an adult, he has minimal ability at verbal communication. In spite of these difficulties, LL is a brilliant pianist, especially of classical and country and western music. It was once claimed that LL’s musical talent was only discovered when, at the age of sixteen, he woke his foster family in the middle of the night by playing Tchaikovsky’s First Piano Concerto. But Miller found evidence that LL had shown an interest in music since at least the age of three; on one occasion he was discovered strumming the bedsprings under his bed while humming a tune. He was given toy instruments as a child and when aged eight his family purchased a piano. His foster mother provided informal music lessons, encouraging the development of his talent – although she actively discouraged LL’s particular liking for country and western music.
20 Eddie 和 CA 的案例研究在某种程度上依赖于对他们音乐能力的轶事描述。但有了 Noel，另一个 音乐专家，已经进行了严格的科学测试来评估和了解他的音乐能力（赫梅林 2001 年）。这些都展示了相当惊人的音乐记忆力。五岁时，诺埃尔被安置在一所学校 有严重学习困难的儿童。他患有自闭症——无法与其他孩子接触或主动说话 – 并且具有与这种情况相关的重复和强迫行为模式。其中之一是听音乐 在收音机上，然后第二天在学校的钢琴上用耳朵播放。心理学家贝亚特·赫梅林（Beate Hermelin）和尼尔·奥康纳（Neil O'Connor） 在研究自闭症专家时听说了 Noel，包括那些在绘画、算术方面具有杰出能力的人 和诗歌，所有这些都在 Hermelin 2001 年的精彩著作 Bright Splinters of the Mind 中进行了描述。
20 The case studies of Eddie and CA rely to some extent on anecdotal accounts of their musical abilities. But with Noel, another musical savant, rigorous scientific tests have been undertaken to evaluate and understand his musical abilities (Hermelin 2001). These have demonstrated a quite astonishing musical memory. At the age of five, Noel had been placed in a school for children with severe learning difficulties. He was autistic – unable to make contact with other children or initiate speech – and had patterns of repetitive and obsessive behaviour associated with this condition. One of these was listening to music on the radio and then playing it by ear the following day on the school piano. The psychologists Beate Hermelin and Neil O’Connor heard about Noel when making a study of autistic savants, including those with outstanding abilities at drawing, arithmetic and poetry, all of which are described in Hermelin’s fantastic 2001 book Bright Splinters of the Mind.
他们在 Noel 19 岁时对他进行了检查，当时他的智商为 61，几乎完全没有自发的言语。 Hermelin 和 O'Connor 为 Noel 和一位专业音乐家演奏了 Greig 的“Melody”，Op. 47 No. 3，他们都不是 熟悉这件作品。它从头到尾播放，然后又以短段播放。在每个部分之后，Noel 和 专业音乐家不得不将它与前面的部分一起播放，直到最后他们演奏了整首曲子 从记忆中。诺埃尔对《旋律》的所有 64 小节进行了近乎完美的渲染，保留了旋律和和声 组件，并且在 798 张纸币中只有 8% 出现错误。这位专业音乐家只能演奏 354 个音符， 其中 80% 是错误的。24 小时后，诺埃尔 （Noel） 奉献了第二场近乎完美的表演。
They examined Noel when he was nineteen years old, when he had an IQ of 61 and an almost total absence of spontaneous speech. Hermelin and O’Connor played Greig’s ‘Melody’, Op. 47 No. 3, to Noel and to a professional musician, neither of whom were familiar with the piece. It was played from beginning to end, and then again in short sections. After each section, Noel and the professional musician had to play it back, along with the previous sections, until finally they played the whole piece from memory. Noel gave an almost perfect rendering of all sixty-four bars of ‘Melody’, retaining both the melody and harmonic components and making mistakes on only 8 per cent of the 798 notes. The professional musician was only able to play 354 notes, 80 per cent of which were incorrect. Twenty-four hours later Noel gave a second near-perfect performance.
通过分析诺埃尔的错误，并用更多的音乐进行测试，赫梅林和奥康纳得出结论，诺埃尔的 音乐记忆基于对音乐结构的直觉把握。通过痴迷地听音乐，他获得了 对 1600 年至 1900 年间大多数西方音乐创作的全音阶有深刻的理解， 包括 Greig 的 'Melody'。这就是我在第 2 章中提到的“音调知识”，最接近 语言语法。Noel 将他的音调知识与专注于离散乐句的倾向相结合，而不是 按照专业音乐家的意愿将整首曲子放在一起。诺埃尔能力的这种解读 当巴托克要求他在相同条件下重复 Mikrokosmos 时得到证实。这首曲子创作于 1930 年代，避开了全音阶，落入了 无调性音乐的类别。诺埃尔现在明显不那么成功了，在他弹奏的 277 个音符中，有 63% 犯了错误。 相比之下，专业音乐家演奏的 1S3 音符中有 14% 的错误。
By analysing Noel’s mistakes, and undertaking tests with further pieces of music, Hermelin and O’Connor concluded that Noel’s musical memory was based on an intuitive grasp of musical structure. Through his obsessive listening to music, he had acquired a profound understanding of the diatonic scales in which the majority of Western music from between 1600 and 1900 is composed, including Greig’s ‘Melody’. This is what I referred to in chapter 2 as ‘tonal knowledge’, the closest musical equivalent to a linguistic grammar. Noel combined his tonal knowledge with a tendency to focus on discrete musical phrases, rather than attending to the piece as a whole as was the inclination of the professional musician. This interpretation of Noel’s ability was confirmed when he was asked to repeat Mikrokosmos by Bartók under the same conditions. This piece was composed in the 1930s and eschews the diatonic scale, falling into the category of atonal music. Noel was now markedly less successful, making errors in 63 per cent of the 277 notes he played, in contrast to the 14 per cent of errors in 1S3 notes played by the professional musician.
21 也就是说，如果有人问 Eddie 一段旋律是否与另一首旋律“相同或不同”，他的回答会简单地重复“相同或不同”这句话。
21 That is, if Eddie had been asked whether one melody was the ‘same as or different to’ another melody, his response would have been simply to repeat the phrase ‘same or different’.
22 Hermelin 对完美音高的研究是与 Pamela Heaton 和 Linda Pring 一起进行的，并在 Hermelin （2001， 第 168-78 页）。它们是为患有自闭症的儿童制作的，其中一些儿童具有非凡的音乐能力。根据定义， 他们都没有正常的语言能力，但都被发现具有完美的音调。每 10 个成年人中就有 1 个 Takeuchi 和 Hulse （1993） 给出了完美的音高。
22 Hermelin’s studies on perfect pitch were undertaken with Pamela Heaton and Linda Pring and are described in Hermelin (2001, pp. 168–78). They were made on children suffering from autism, some of whom had exceptional musical abilities. By definition, none of them had normal linguistic abilities, but all were found to have perfect pitch. The figure of one in ten adults having perfect pitch is given in Takeuchi and Hulse (1993).
23 Ilona Roth （pers. comm.） 告诉我，在自闭症患者中发现的 echolalia 是程度上的，并且可能会随着 发展，从 Miller （1989） 的描述来看，Eddie 似乎就是这种情况。
23 Ilona Roth (pers. comm.) has informed me that echolalia is found among autistics as a matter of degree and may diminish with development, which appears, from Miller’s (1989) description, to have been the case with Eddie.
24 Mottron 等人 （1999） 考虑了完美音调与自闭症之间的关联。他们研究了一个名叫 QC 的女孩，她是一名功能低下的人 患有自闭症的青少年，音调完美。他们认为她的自闭症是由于缺乏认知灵活性造成的 在一个对听觉刺激有明显兴趣的人身上，这种刺激是在完美出现的关键年龄出现的 投。
24 Mottron et al. (1999) consider the association between perfect pitch and autism. They studied a girl known as QC, a low-functioning adolescent with autism and with perfect pitch. They suggested that her autism resulted from a lack of cognitive flexibility in a person with a marked interest in auditory stimuli, which had arisen at the critical age for the appearance of perfect pitch.
25 Simon Baron-Cohen （2003） 认为“女性大脑主要是天生的同理心。男性大脑主要是 硬连线用于立式和建筑系统。
25 Simon Baron-Cohen (2003) argued ‘the female brain is predominantly hardwired for empathy. The male brain is predominantly hardwired for under standing and building systems.’
26 米勒（1989 年，第 183 页）。
26 Miller (1989, p. 183).
27 在 Hermelin （2001） 对自闭症儿童的研究中，她发现人们倾向于关注片段而不是整体——这是 被认为是一个普遍的特征，通常被描述为缺乏“中心连贯性”。所以，例如，一个自闭症患者 孩子会对图片的单个元素感兴趣，而不是对它作为一个整体看起来的样子感兴趣， 并且会完全独立于其他元素来解释每个元素。唯一的例外是在音乐领域， 自闭症儿童表现出对一首音乐的整体特征做出反应的能力，而不是 完全专注于其各个元素。这些自闭症儿童没有表现出特别的音乐或任何其他能力。 但结果可能表明，专家级的音乐能力不能用与专家级艺术技能相同的方式来解释 或熟练的算术能力。
27 In Hermelin’s (2001) studies of autistic children, she found a tendency to focus on segments rather than wholes – which is recognized as a widespread characteristic and is often described as a lack of ‘central coherence’. So, for instance, an autistic child would be interested in the individual elements of a picture rather than in what it appeared to look like as a whole, and would interpret each element quite independently of the others. The only exception to this was in the domain of music, where autistic children showed some ability to respond to the characteristics of a piece of music as a whole, rather than to focus entirely on its individual elements. These autistic children showed no particular musical, or any other, ability. But the results might suggest that savant musical ability is not to be explained in the same manner as, say, savant artistic or savant arithmetical abilities.
28 米勒（1989 年，第 241 页）。
28 Miller (1989, p. 241).
4. 没有音乐的语言
4. Language without music
1 以下叙述借鉴了 Henson （1988） 和 Sergent （1993）。
1 The following account draws on Henson (1988) and Sergent (1993).
2 Alajouanine （1948 年）。
2 Alajouanine (1948).
3 Wilson 和 Pressing（1999 年，第 53 页）。
3 Wilson and Pressing (1999, p. 53).
4 以下叙述借鉴了 Piccirilli 等人（2000 年）。
4 The following account draws on Piccirilli et al. (2000).
5 Wilson 和 Pressing（1999 年，第 53 页）。
5 Wilson and Pressing (1999, p. 53).
6 佩雷茨 （1993 年，第 23 页）。
6 Peretz (1993, p. 23).
7 Wilson 和 Pressing（1999 年）。
7 Wilson and Pressing (1999).
8 KB 的情况由 Steinke et al. （2001） 描述。
8 The case of KB is described by Steinke et al. (2001).
9 Peretz et al. （1994） 描述了 CL 的情况，其中她与 GL 进行了比较和对比。
9 The case of CL is described in Peretz et al. (1994), where she is compared and contrasted with GL.
10 Wilson & Pressing（1999年）。
10 Wilson & Pressing (1999).
11 Patel 等人 （1998）
11 Patel et al. (1998)
12 艾伦 （1878）。
12 Allen (1878).
13 Fry （1948） 评估了 1200 名受试者的样本，要求受试者比较 为了检测音高的变化，使他得出结论，5% 的英国人口是无音乐的，而 先天性 AMUSIA 是由于音乐记忆和音高辨别力的缺陷引起的。Ayotte et al. （2002） 认为 Fry 的数据分析不支持这种说法。Kalmus 和 Fry （1980） 检查了 604 名成年人样本的能力 检测插入旋律中的异常音高，得出结论 4.2% 的英国人口是无音乐的。 Ayotte 等人（2002 年）也将这一发现描述为有问题，并批评所采用的方法。
13 Fry (1948) evaluated a 1200-subject sample on tests requiring the subjects to compare two notes or two musical phrases in order to detect a change in pitch, leading him to conclude that 5 per cent of the British population was amusical, and that congenital amusia arose from deficiencies in both musical memory and pitch discrimination. Ayotte et al. (2002) argue that such claims are not supported by Fry’s data analysis. Kalmus and Fry (1980) examined the ability of a sample of 604 adults to detect anomalous pitches inserted into melodies, concluding that 4.2 per cent of the British population were amusical. Ayotte et al. (2002) also describe this finding as problematic and criticize the methodology employed.
14 卡泽兹 （1985）。
14 Kazez (1985).
15 Peretz 等人（2002 年）描述了莫妮卡的案例。
15 The case of Monica is described by Peretz et al. (2002).
16 虽然引用了知名人士的演讲摘录，但这些摘录的选段是为了确保不包含任何可能 提供了有关说话者身份的线索（Peretz 等人，2002 年）。
16 Although speech excerpts from well-known people were used, these were selected so as not to include any words that might have given a clue as to the speakers’ identities (Peretz et al. 2002).
17 Ayotte 等人（2002 年）。
17 Ayotte et al. (2002).
18 伊莎贝尔·佩雷茨 （Isabelle Peretz） 和她的同事的研究表明，先天性失眠是存在的——音聋并不是一个神话。 3% 到 6% 的人口在没有任何其他认知能力的情况下患有语言学习缺陷 损伤，对于先天性 AMUSIA，可建议有类似的百分比。
18 The studies by Isabelle Peretz and her colleagues demonstrate that congenital amusia exists – tone-deafness is not a myth. Between 3 and 6 per cent of the population suffer from a language-learning deficiency in the absence of any other cognitive impairment, and a similar percentage can be suggested for congenital amusia.
一个明显的问题是先天性失眠是否是一种生物遗传性疾病——那些无法保持的人可以 一首曲子把它归咎于他们的父母？莫妮卡的母亲和她的兄弟被描述为有音乐障碍，但事实并非如此 正式测试。她的父亲和姐姐没有被报告患有任何此类缺陷。在测试的其他 10 个对象中 佩雷茨报道，6 人报告说他们的父母之一（通常是他们的母亲）和至少一个兄弟姐妹有音乐障碍。 虽然每个家庭也有音乐能力强的成员。
An obvious question is whether congenital amusia is a biologically heritable condition – can those who are unable to hold a tune blame it on their parents? Monica’s mother and her brother were described as being musically impaired, but were not formally tested. Her father and sister were not reported as suffering any such deficits. Of the ten other subjects tested by Peretz, six reported that one of their parents (often their mother), and at least one sibling, were musically impaired, while every family also had members who were musically competent.
据我所知，只有一项研究旨在探索音乐能力的遗传性，旨在评估 遗传和环境因素的相对意义（Drayna 等人，2001 年）。这发表在著名的期刊《科学》上，特别令人感兴趣，因为它关注的是佩雷茨认为是 先天性 AMUSIA：对音高的认可。它由国家研究所的科学家联合团队于 马里兰州的耳聋，以及伦敦圣托马斯医院的双胞胎研究单位。后者作为双胞胎对研究至关重要 研究提供了评估遗传基因和发育环境对个体的相对贡献的方法 思想和行为。
There has, to my knowledge, been just one study designed to explore the heritability of musical ability, aiming to assess the relative significance of genetic and environmental factors (Drayna et al. 2001). This appeared in the distinguished journal Science, and is of particular interest because it focuses on the same musical deficit that Peretz had identified as the essence of congenital amusia: the recognition of pitch. It was conducted by a joint team of scientists from the National Institute on Deafness, in Maryland, and the Twin Research Unit at St Thomas’ Hospital, London. The latter was crucial to the study as twin studies provide the means to evaluate the relative contributions of inherited genes and developmental environment to individual thought and behaviour.
同卵双胞胎——那些来自单个卵子的双胞胎——彼此具有完全相同的基因;虽然是兄弟情谊，或者是异卵子， 双胞胎彼此之间的相似性并不比来自同一父母的任何其他兄弟姐妹的相似性更大。除非在非常不寻常的情况下 案例中，双胞胎在两个人尽可能相同的环境中长大，接受相同的教育 和生活经历。极少数情况下，双胞胎在出生时会分开，并在不同的家庭中长大，情况完全不同 环境。通过检查同卵双胞胎和异卵双胞胎成年后的异同，以及 比较那些留在一起的人和那些出生时分开的人，可以梳理出相对的重要性 基因和环境对他们的外表、思想和行为的影响。
Identical twins – those originating from a single egg – have exactly the same genes as each other; while fraternal, or dizygotic, twins are of no greater similarity to one another than to any other sibling from the same parents. Except in very unusual cases, twins grow up in environments that are as identical as is possible for two individuals, undergoing the same education and life experiences. Very occasionally, twins are separated at birth and grow up with different families, in quite different environments. By examining the similarities and differences between identical and fraternal twins when they are adults, and comparing those who remained together and those separated at birth, it is possible to tease out the relative significance of genes and of environment on their looks, thoughts and behaviour.
来自国家耳聋研究所的 Dennis Drayna 博士领导了对音高辨别能力的研究。他能够 检验 284 对双胞胎，其中 136 对相同。所有双胞胎都被要求进行一个版本的“失真曲调测试”， Peretz 和其他人在检查脑损伤和其他受试者的音乐能力时使用了它。这是 测试播放哪些熟悉的旋律，其中一些音高不正确的音符替换了一个或多个正确的音符 音符，受试者必须确定旋律是否正确。每个人都听了 26 首旋律 并根据他们正确识别为正确的数量进行评分。测试是在非常严格的 基础，旨在确保听力缺陷和性别等因素不会影响结果。
Dr Dennis Drayna, from the National Institute on Deafness, led the study of pitch discrimination abilities. He was able to test 284 twin pairs, 136 of which were identical. All twins were asked to undertake a version of the ‘distorted tunes test’, which was used by Peretz and others when examining the musical abilities of brain-damaged and other subjects. This is the test in which familiar melodies are played, in some of which notes with an incorrect pitch have replaced one or more correct notes, and the subjects have to identify whether the melodies are correct or not. Each individual listened to twenty-six melodies and was scored according to how many they correctly identified as being correct. The test was carried out on a very rigorous basis, designed to ensure that factors such as hearing deficits and gender did not influence the results.
Drayna 发现，这对同卵双胞胎在检测扭曲的能力方面表现出更大的相似性 的曲调比 Fraternal Twins 还要多。通过复杂的统计分析，他计算出大约 80% 的音高识别能力来自遗传基因，20% 来自一个人成长的特定环境 以及一个人所接触到的音乐体验。
Drayna found that the pairs of identical twins showed greater similarity to one another in their ability to detect distorted tunes than did the fraternal twins. By a sophisticated statistical analysis, he calculated that approximately 80 per cent of pitch recognition ability derives from inherited genes and 20 per cent from the specific environment within which one matures and the musical experiences to which one is exposed.
5. 音乐和语言的模块化
5. The modularity of music and language
1 Ilona Roth （pers. comm.） 指出，我对我提出的案例研究还有另一种解释。这是可能的 在没有语言的情况下，音乐的互补机制，或者反之亦然，与存在的机制不同 当语言和音乐都存在并正常运行时。尽管我们可能知道音乐的 'ouput' 行为 或者语言与正常个体相同，我们不知道产生这种输出的神经机制是 必然相同。
1 Ilona Roth (pers. comm.) has noted that there is another interpretation of the case studies I have presented. It is possible that the complementary mechanisms for music in the absence of language, or vice versa, are not the same as those that exist when both language and music are present and function normally. Although we might know that the ‘ouput’ behaviour for music or language is the same as in a normal individual, we do not know that the neural mechanisms that generate this output are necessarily the same.
2 佩雷茨 （2003 年，第 200 页）。
2 Peretz (2003, p. 200).
3 Peretz 和 Zatorre （2003） 提供了一系列论文，描述了音乐认知神经科学的最新研究。
3 Peretz and Zatorre (2003) provide a collection of papers describing the latest research in the cognitive neuroscience of music.
4 Patel （2003） 提出了如何解决这个明显的矛盾，他认为存在一个特定的收敛点 在语言和音乐的句法处理之间。
4 Patel (2003) proposes how this apparent contradiction can be resolved, by arguing that there is one specific point of convergence between syntactic processing in language and music.
5 Maess 等人（2001 年）。Koelsch 等人从一项 fMRI 研究中得出了类似的结论，得出的结论是“皮层网络 已知支持语言处理的领域特异性不如以前认为的“（Koelsch 等人，2002 年，第 956 页）。
5 Maess et al. (2001). Koelsch et al. reached a similar conclusion from an fMRI study, concluding that ‘the cortical network known to support language pro cessing is less domain-specific than previously believed’ (Koelsch et al. 2002, p. 956).
6 以下内容借鉴了 Parsons （2003） 的报告。
6 The following draws on the report by Parsons (2003).
6. 与宝宝交谈和唱歌
6. Talking and singing to baby
1 Fernald （1991） 回顾了将母亲、父亲和兄弟姐妹的发音与婴儿的韵律进行比较的证据。更高的 然而，兄弟姐妹的音调可能反映了他们自己高度的唤醒，而不是一种影响手段 婴儿。
1 Fernald (1991) reviews evidence that compares the prosody in mothers’, fathers’ and siblings’ speech to infants. The higher pitch of siblings, however, might be a reflection of their own heightened levels of arousal, rather than a means of influencing the infant.
2 Fernald （1991） 引用了婴儿更喜欢听 IDS 而不是成人导向的语音的证据。
2 Fernald (1991) cites evidence that infants prefer to listen to IDS rather than adult-directed speech.
3 Malloch （1999） 对母亲/父亲和婴儿之间的言语行为进行了最详细的研究之一，描述了 它被称为 “交际音乐性”。Robb （1999） 探讨了当母亲未能夸大韵律时对轮流的影响 由于产后抑郁症，他们的 IDS 中。
3 Malloch (1999) has made one of the most detailed studies of speech behaviour between mother/father and infant, characterizing it as ‘communicative musicality’. Robb (1999) has explored the impact upon turn-taking when mothers fail to exaggerate prosody in their IDS owing to postnatal depression.
4 Monnot （1999 年）。
4 Monnot (1999).
5 Fernald 和 Mazzie （1991） 研究了如何使用韵律来促进儿童的单词学习。
5 Fernald and Mazzie (1991) examine how prosody is used to facilitate word learning by children.
6 Nelson et al. （1989） 进行了实验，证明了 IDS 如何促进语法学习。
6 Nelson et al. (1989) undertook experiments that demonstrated how IDS con tributes to the learning of syntax.
7 以下文本借鉴了 Fernald （1991） 的文章，他为以下 IDS，她将其描述为：（1） 内在的知觉和情感显著性;（2） 注意力、唤醒和情感的调节; （3） 意图和情感的交流;（4） 单词的声学高亮显示。
7 The following text draws on Fernald (1991), who provides a four-stage, age-related model for the developmental functions of IDS, which she describes as: (1) intrinsic perceptual and affective salience; (2) modulation of attention, arousal and affect; (3) communication of intention and emotion; and (4) acoustic highlighting of words.
8 Fernald （1989， 1992）.
8 Fernald (1989, 1992).
9 Fernald （1989， 1992）.
9 Fernald (1989, 1992).
10 Monnot （1999） 已经确定了这种相关性。然而，这取决于对数量的相当主观的测量 以及 IDS 的质量。Monnot 认为，她发现的相关性表明 IDS 在语言进化中起着重要作用。
10 This correlation has been identified by Monnot (1999). It depends, however, on rather subjective measures of the quantity and quality of IDS. Monnot argues that the correlation she finds suggests that IDS is instrumental in language evolution.
11 Fernald 等人（1989 年）。这项研究还包含对声称发现人类语言没有 特定韵律寄存器用于对婴儿说话。
11 Fernald et al. (1989). This study also contains a critique of studies that claim to have found human languages in which no specific prosodic register is used in speech to infants.
12 印欧语系语言的起源、传播和多样化是存在相当大的争议的问题，但问题却存在 由于最近整合了遗传学、语言学和考古学的证据，因此具有潜在的可溶性。这是 Renfrew 和 Bellwood （2002） 编辑的卷中就是一个例子，其中包含几篇关于可能起源的文章 印欧语系。我给出的日期是农民在欧洲传播的广阔时间范围，其中一些 等同于原始印欧语系的传播。
12 The origin, spread and diversification of Indo-European languages are matters of considerable dispute, but the problems have become potentially soluble owing to the recent integration of evidence from genetics, linguistics and archaeology. This is exemplified in the volume edited by Renfrew and Bellwood (2002), which contains several articles about the possible origins of Indo-European languages. The date I have given is a broad time horizon for the spread of farmers across Europe, which some equate with the spread of proto-Indo-European.
13 Fernald （1991） 引用了科萨语 IDS 的研究。Papousek 等人（1991 年）的结果证实了 Grieser 和 Kuhl 的发现 （1988 年）关于普通话和英语 IDS 之间的相似性。
13 Studies of Xhosa IDS are cited in Fernald (1991). Papousek et al.’s (1991) results confirmed the findings of Grieser and Kuhl (1988) regarding similarities between Mandarin and English IDS.
14 Saffran 等人（1996 年、1999 年）。
14 Saffran et al. (1996, 1999).
15 引自 Saffran et al. （1999）。
15 Cited in Saffran et al. (1999).
16 Saffran 和 Griepentrog （2001）。有关 Saffran 在婴儿期完美音高方面的工作的进一步发展，请参阅 Saffran （2003）。
16 Saffran and Griepentrog (2001). For a further development of Saffran’s work on perfect pitch in infancy, see Saffran (2003).
17 Heaton 等人（1998 年）;Mottron 等人（1999 年）。
17 Heaton et al. (1998); Mottron et al. (1999).
18 Saffran 和 Griepentrog （2001 年，第 82 页）。
18 Saffran and Griepentrog (2001, p. 82).
19 Zatorre （2003） 认为，无论任何文化因素如何，亚洲人的完美音高发生率都较高 例如语言类型或童年时期接触音乐。他认为它源于 拥有和/或维护完美音高。
19 Zatorre (2003) argues that the higher incidence of perfect pitch in Asian people is found irrespective of any cultural factors such as type of language or childhood exposure to music. He suggests that it derives from a genetic predisposition for the possession and/or maintenance of perfect pitch.
20 这似乎是认知发展中获取/保持完美音高的关键时期，就像 语言学习的关键时期（Takeuchi 和 Hulse 1993）。成人中完美音高的存在似乎是衍生的 部分来自这些经验因素，部分来自一个人的基因构成（Zatorre 2003）。
20 This appears to be a critical period in cognitive development for acquiring/maintaining perfect pitch, just as there is a critical period for language learning (Takeuchi and Hulse 1993). The presence of perfect pitch in adults appears to derive partly from such experiential factors and partly from one’s genetic make up (Zatorre 2003).
21 我感谢 Alison Wray （pers. comm.） 关于拥有完美音高如何增强音乐剧的建议 能力。
21 I am grateful to Alison Wray (pers. comm.) for this suggestion as to how the possession of perfect pitch might enhance musical ability.
22 Hermelin（2001 年，第 168-78 页）描述了比较音乐天真的自闭症儿童和“正常”儿童的能力的实验 儿童（智力发育和智力水平相匹配）识别和回忆音高。 她还发现，这些自闭症儿童更擅长将和弦分割成它们的组成部分并建立联系 彼此的注释。Mottron 等人 （1999） 提供了低功能自闭症青少年的详细案例研究。
22 Hermelin (2001, pp. 168–78) describes experiments that compared the abilities of musically naive, autistic children and ‘normal’ children (who were matched for levels of mental development and intelligence) at identifying and recalling musical pitches. She also found that such autistic children were more able at segmenting chords into their constituent parts and at relating notes to one another. A detailed case study of a low-functioning adolescent with autism is provided by Mottron et al. (1999).
23 D'Amato （1988） 认为 cebus 猴子具有完美的音高，而 Wright 等人 （2000） 则探讨了 猴子。当然，此类工作存在巨大的方法挑战，应谨慎使用这些结果。 Hauser 和 McDermott （2003） 指出，Wright 等人的结果的价值在很大程度上取决于猴子是否 测试之前曾接触过西方音乐。其他物种具有完美的音高能力，最著名的是鸣禽。魏斯曼 等人（2004 年）比较了鸣禽、人类和大鼠的完美音高能力。测试完美音高的实验 非洲猿类将引起极大的兴趣。
23 D’Amato (1988) argues that cebus monkeys have perfect pitch, while Wright et al. (2000) explore the musical sensitivity of monkeys. There is, of course, an immense methodological challenge with such work, and these results should be used with caution. Hauser and McDermott (2003) note that the value of Wright et al.’s results depends critically on whether the monkeys they tested had had prior exposure to Western music. Other species have perfect pitch abilities, most notably songbirds. Weisman et al. (2004) compared the perfect pitch abilities of songbirds, humans and rats. Experiments to test for perfect pitch in the African apes would be of immense interest.
24 关于摇篮曲的研究，参见 Trehub 和 Schellenberg （1995），Trehub 和 Trainor （1998）。跨文化相似性和 Trehub 等人 （1993） 和 Unyk 等人 （1992） 研究了成年人识别摇篮曲的能力。
24 For studies on lullabies see Trehub and Schellenberg (1995), Trehub and Trainor (1998). Cross-cultural similarities and the abilities of adults to identify lullabies are examined in Trehub et al. (1993) and Unyk et al. (1992).
25 Trehub 和 Schellenberg （1995）。另见 Trehub et al. （1997） 和 Trehub and Trainor （1998）。
25 Trehub and Schellenberg (1995). See also Trehub et al. (1997) and Trehub and Trainor (1998).
26 Trehub 和 Nakata （2001）。
26 Trehub and Nakata (2001).
27 这项研究由 Shenfield、Trehub 和 Nakata 进行，并在 Street 等人（2003 年）上报道。
27 This study was undertaken by Shenfield, Trehub and Nakata, and is reported in Street et al. (2003).
28 这些研究已在 Standley （1998， 2000） 和 Standley and Moore （1995） 中报道，并在 Street 等人中进行了总结。 (2003).
28 These studies have been reported in Standley (1998, 2000) and Standley and Moore (1995), and are summarized in Street et al. (2003).
29 Street 等人（2003 年，第 630 页）。
29 Street et al. (2003, p. 630).
30 Trehub（2003 年，第 13 页）。
30 Trehub (2003, p. 13).
31 Trevarthen （1999年，第173页）。
31 Trevarthen (1999, p. 173).
32 在这一章中，我刻意回避了婴儿运动的问题，即使有节奏地踢腿、挥舞 手臂和摇摆可能具有重要的“音乐”品质。Thelen （1981） 将这种动作描述为有节奏的刻板印象 并考虑了它们的适应性意义和起源。
32 I have deliberately avoided the issue of infant movement in this chapter, even though rhythmic kicking of legs, waving of arms and rocking may have significant ‘musical’ qualities. Thelen (1981) has described such movements as rhythmic stereotypes and considered their adaptive significance and origin.
33 Trevarthen （1999年，第174页）。他继续强调，父亲也以同样的方式与婴儿互动。
33 Trevarthen (1999, p. 174). He goes on to stress that fathers also interact with their infants in the same manner.
34 Knutson 等人（1998 年）。
34 Knutson et al. (1998).
35 关于大脑发育，参见 Changeux （1985）。
35 For brain development see Changeux (1985).
36 关于神经达尔文主义，参见 Changeux （1985）， Edelman （1987， 1992）。
36 For neural Darwinism, see Changeux (1985), Edelman (1987, 1992).
37 关于神经建构主义，参见 Greenough et al. （1987） 和 Rosenzweig et al （1999）。
37 For neural constructivism, see Greenough et al. (1987) and Rosenzweig et al (1999).
7. Music hath charms and can heal
1 参见 Nettl （1983， chapter 11），巧合的是，它与我的章节 hut 有更有趣的反思使用相同的标题 关于康格里夫的诗。
1 See Nettl (1983, chapter 11), which coincidentally uses the same title as my chapter hut has more interesting reflections on Congreve’s poem.
2 迈耶 （1956），库克 （1959）。Meyer （2001） 对他的想法进行了更新的评论。
2 Meyer (1956), Cooke (1959). Meyer (2001) provides an updated review of his ideas.
3 Juslin 和 Sloboda （2001） 回顾了音乐与情感之间关系的研究历史。
3 Juslin and Sloboda (2001) review the history of the study of the relationship between music and emotion.
4 Juslin 和 Sloboda（编辑，2001 年）。
4 Juslin and Sloboda (eds, 2001).
5 Oatley 和 Jenkins （1996） 描述了情绪研究的历史。
5 Oatley and Jenkins (1996) describe the history of the study of emotions.
6 Evans （2001） 对情感是人类理性和智力的核心观点进行了简短且可读性的介绍。 发展这一观点的主要工作是 De Sousa （1987）、Damasio （1994）、Oatley 和 Jenkins （1996）。
6 Evans (2001) provides a short and very readable introduction to the view of emotions as central to human rationality and intelligence. Key works in the development of this viewpoint are De Sousa (1987), Damasio (1994), Oatley and Jenkins (1996).
7 例如，参见 Damasio （1994， 2003）， Le Doux （1996）。
7 See, for instance, Damasio (1994, 2003), Le Doux (1996).
8 Oatley 和 Jenkins （1996） 以及 Evans （2001） 都描述了那些相信所有情感都是文化的人们之间的辩论 建构和那些相信至少有些是基于生物学的人类普遍性的人。Ekman 的工作一直至关重要 建立后一种观点（Ekman 1992，Ekman 和 Davidson 1995）。
8 Both Oatley and Jenkins (1996) and Evans (2001) describe the debates between those who believe that all emotions are cultural constructions and those who believe that some at least are biologically based human universals. Ekman’s work has been essential in establishing the latter viewpoint (Ekman 1992, Ekman and Davidson 1995).
9 古道尔 （1986）。另见 De Waal （1982） 关于黑猩猩复杂的社会和情感生活。
9 Goodall (1986). See also De Waal (1982) for the complicated social and emotional lives of chimpanzees.
10 Oatley 和 Johnson-Laird （1987）。
10 Oatley and Johnson-Laird (1987).
11 弗兰克 （1988）。
11 Frank (1988).
12 Ekman （1985， 2003） 对人类情感进行了精彩的研究，为跨文化表达的普遍性提供了证据 以及探索对自己的情绪撒谎的极限。
12 Ekman (1985, 2003) provides brilliant studies of human emotions, offering evidence for cross-cultural universals of expression and exploring the limits of lying about one’s emotions.
13 Baron-Cohen （2003） 提供了一项有趣的“用眼睛读心术测试”作为他书的附录。同样，Ekman （2003） 提供了一组“具有特别微妙表情的人的照片，这些表情可能是两种情绪的混合体 一个用来测试自己的读者”。
13 Baron-Cohen (2003) provides an entertaining ‘reading the mind in the eyes test’ as an appendix to his book. Similarly, Ekman (2003) provides a suite of ‘photos of people with particularly subtle expressions that may be a mixture of two emotions for a reader to test themselves against’.
14 Niedenthal 和 Setterlund （1994）。更具体地说，他们演奏了维瓦尔第的 C 大调协奏曲和莫扎特的 Eine kleine Nachtmusik 来诱导积极的情绪;当需要悲伤的主题时，他们演奏马勒的 Adagietto 或钢琴的慢板 拉赫玛尼诺夫的 C 小调第二协奏曲。
14 Niedenthal and Setterlund (1994). More specifically, they played Vivaldi’s Concerto in C Major and Mozart’s Eine kleine Nachtmusik to induce positive moods; when sad subjects were required they played the Adagietto by Mahler or the adagio from the Piano Concerto No. 2 in C Minor by Rachmaninov.
15 布莱金（1973 年，第 68-9 页）。布莱金担心他自己从 Venda 中获得的证据没有显示 库克发现的音乐间隔和情感。他认为，“文达音乐惯例可能压制了文达人与生俱来的愿望，即以特定、普遍的方式表达他们的情感”。 他还强调，库克的理论不够普遍，无法适用于任何文化，因此不适用于欧洲音乐。
15 Blacking (1973, pp. 68–9). Blacking was concerned that his own evidence from the Venda did not show the same association between musical intervals and emotions as was found by Cooke. He suggested that ‘it is possible that Venda musical conventions have suppressed an innate desire in Venda people to express their emotions in a specific, universal way’. He also stressed how Cooke’s theory is not general enough to apply to any culture and hence is inadequate for European music.
16 Oelman 和 Lœng （2003 年，第 244 页）。她的工作在 2003 年 9 月在汉诺威举行的第 5 届三年一度的 ESCOM 会议上进行了展示 大学。
16 Oelman and Lœng (2003, p. 244). Her work was presented at the 5th Triennial ESCOM conference held in September 2003 at Hanover University.
17 库克（1959 年，第 60 页）。
17 Cooke (1959, p. 60).
18 库克（1959 年，第 105 页）。
18 Cooke (1959, p. 105).
19 以下内容借鉴了 Juslin （1997）。正如 Juslin 所寻求的那样，本文涉及的远不止我的文本中描述的实验 为音乐中情感交流的功能主义观点开发一个广义模型。
19 The following draws on Juslin (1997). This paper involves far more than the experiments described in my text, as Juslin seeks to develop a generalized model for a functionalist perspective on emotional communication in music.
20 然而，女性在从音乐表演中推断出预期情感的优势在统计学上并不显著。 因此，我们在解释这个结果时必须谨慎（Juslin 1997）。
20 The female advantage in inferring the intended emotion from the musical performance was not, however, statistically significant, so we must be cautious in interpreting this result (Juslin 1997).
21 以下内容借鉴了 Scherer （1995）。
21 The following draws on Scherer (1995).
22 Scherer 和 Zentner （2001） 描述了情绪状态主观报告的问题。在他们的研究中，他们有 明确要求他们的受试者区分他们自己感受到的情绪和他们所识别的情绪 他们正在听的音乐。
22 Scherer and Zentner (2001) describe the problems with subjective reporting of emotional states. In their studies they have explicitly requested their subjects to differentiate between the emotions they feel themselves and those they recognize in the music to which they are listening.
23 Krumhansl （1997 年）。
23 Krumhansl (1997).
24 Scherer 和 Zentner （2001） 对此类实验进行了批判性审查。
24 Scherer and Zentner (2001) provide a critical review of such experiments.
25 Scherer 和 Zentner （2001）。
25 Scherer and Zentner (2001).
26 Dibben （2003） 提供的实验证据表明，“唤醒水平会影响所经历的情绪强度 音乐，因此人们使用他们的身体感觉作为音乐所感受和表达的情感的信息”。 Viellard et al. （2003） 对音乐专业知识对提取情感信息的能力的影响提供了一些见解 来自一首音乐。
26 Dibben (2003) provides experimental evidence that indicates that ‘arousal level influences the intensity of emotion experienced with music, and therefore that people use their bodily sensations as information as to the emotion felt and expressed by music’. Viellard et al. (2003) provide some insights into the influence of musical expertise on the ability to extract emotional information from a piece of music.
27 Bunt 和 Pavlicevic （2001） 从音乐疗法的角度探讨了音乐与情感之间的关系。
27 Bunt and Pavlicevic (2001) explore the relationship between music and emotion from the perspective of music therapy.
28 这是由 Schullian 和 Schoen （1948） 编辑的卷，由 Gouk （2000） 分析和讨论。
28 This is the volume edited by Schullian and Schoen (1948), which is analysed and discussed by Gouk (2000).
29 Standley （1995） 对音乐疗法在医疗和牙科治疗中的应用进行了回顾。Robb et al. （1995） 提供 一项特别有趣的研究，关于如何使用音乐疗法来减轻儿科烧伤患者的术前焦虑， 而 Davila et al. （1986） 考虑使用音乐来放松接受牙科治疗的智障患者， Robb （2003） 提供了儿科保健中音乐疗法的概述。
29 Standley (1995) provides a review of the use of music therapy in medical and dental treatment. Robb et al. (1995) provide a particularly interesting study of how music therapy has been used to reduce preoperative anxiety in paediatric burns patients, while Davila et al. (1986) consider the use of music to relax mentally handicapped patients while undergoing dental treatment, and Robb (2003) provides an overview of music therapy in paediatric healthcare.
30 这是保罗·罗伯逊 （Paul Robertson） 对 Spingte 诊所工作的描述，并被 Horden 引用（2000 年，第 12 页）。罗伯逊 1996 年 5 月在英国第 4 频道电视台推出了题为“音乐与心灵”的系列节目。
30 This is a quote from Paul Robertson describing work at the Spingte Clinic and is cited by Horden (2000, p. 12). Robertson presented a series on Channel 4 television in the UK in May 1996 entitled ‘Music and Mind’.
31 曼德尔 （1996）。
31 Mandel (1996).
32 曼德尔 （1996）。
32 Mandel (1996).
33 Unkefer （1990） 概述了音乐疗法对患有精神障碍的成年人的使用。
33 Unkefer (1990) provides an overview of the use of music therapy for adults with mental disorders.
34 曼德尔（1996 年，第 42 页）。
34 Mandel (1996, p. 42).
35 Horden （2000， p. 17） 已经提出了这一点。
35 This point has been made by Horden (2000, p. 17).
36 埃文斯-普里查德 （1937），并参见霍登 （2000 年，第 17-18 页） 中关于此和其他人类学描述的评论。
36 Evans-Pritchard (1937), and see remarks regarding this and other anthropological accounts in Horden (2000, pp. 17–18).
37 罗斯曼 （1991），詹岑 （1992），弗里德森 （1996）。
37 Roseman (1991), Janzen (1992), Friedson (1996).
38 我们对音乐如何具有治疗和治疗特性的了解不断深入。2003 三年一度的 ESCOM 会议 在汉诺威举行——可能是世界上最大的音乐学家聚会——有一整节专门讨论音乐治疗的会议。 Aiyer 和 Kuppuswamy （2003） 提供了他们使用印度古典音乐治疗患者 来自压力、抑郁、高血压、失眠、肌肉疼痛和智力低下。贝利和戴维森 （2003） 声称参与集体唱歌比不太活跃的音乐参与类型更有益。
38 Our knowledge of how music has therapeutic and healing properties continues to develop. The 2003 triennial ESCOM conference held in Hanover – probably the world’s largest gathering of musicologists – had a whole session devoted to music therapy. Aiyer and Kuppuswamy (2003) provided the results of their use of Indian classical music for therapy for patients suffering from stress, depression, high blood pressure, sleeplessness, muscle pain and mental retardation. Bailey and Davidson (2003) claimed that participation in group singing is more beneficial than less active types of music involvement.
39 伊森 （1970）。Oatley 和 Jenkins （1996） 对 Isen 的实验进行了回顾。
39 Isen (1970). Oatley and Jenkins (1996) provide a review of Isen’s experiments.
40 Isen 等人（1987 年）。
40 Isen et al. (1987).
41 男爵 （1987）。
41 Baron (1987).
42 Forgas 和 Moylan （1987）。
42 Forgas and Moylan (1987).
43 Fried 和 Berkowitz （1979）。
43 Fried and Berkowitz (1979).
44 Fried 和 Berkowitz （1979） 指出，对于此类实验来说，静坐并不是一个很好的控制措施，因为这本身就可能 因无聊而产生负面情绪。
44 Fried and Berkowitz (1979) note that sitting in silence is not a very good control for such experiments as this might itself induce negative emotions arising from boredom.
8. 咕噜声、吠叫和手势
8. Grunts, barks and gestures
1 Byrne （pers. comm.） 认为，猿类语言实验只是在 250 个或更少的符号处停止了，因此它仍然存在 目前尚不清楚猿类是否有可能学习更多的符号。然而，很明显，他们的学习速度 比儿童慢得多。
1 Byrne (pers. comm.) suggests that ape language experiments have simply come to a halt at 250 or less symbols, and so it remains unclear whether apes could potentially learn a much larger number of symbols. It is evident, however, that their rate of learning is a great deal slower than that of children.
2 有大量关于黑猩猩语言学习实验的文献，这些实验在 1960 年代开始认真开始。要点 在这些文献中，有 Beatrice 和 Alan Gardner 向 Washoe 教授手语（Gardner et al. 1989），以及 David Premack 使用不同颜色和符号的塑料芯片对 Sarah 进行的语言实验（Preniack 和 Premack 1972 年代）。1970 年代，Sue Savage-Rumbaugh 在 Yerkes 语言研究中心开始了一项长期研究计划 以及 Duane Rumbaugh （1993），他在计算机键盘上使用符号来表示单词。其中一些工作受到了严重的影响 来自 Terrace （1979， Terrace et al. 1979） 的批评，他认为黑猩猩的语言能力是无意的 被糟糕的方法夸大了。这样的批评是导致年轻人从教学制度转变的一个因素 猿类被专门训练使用符号，在这种训练中，它们只是接触语言。1990 年 Sue Savage-Rumbaugh 开始与男性倭黑猩猩 Kanzi 合作，并很快声称他不仅获得了大量的词汇量，而且还获得了一个简单的 语法 （Greenfield 和 Savage-Rumbaugh 1990;Savage-Rumbaugh 和 Rumbaugh 1993）。黑猩猩和倭黑猩猩都已被展示 对英语口语有广泛的理解。即便如此，黑猩猩的“语言”之间也存在着巨大的鸿沟 能力和人类的能力 – 到 6 岁时，儿童的词汇量通常超过一万个单词，可以 构建长句，并不断评论周围的世界。史蒂文·平克 （1994） 对黑猩猩的描述 语言学家作为“训练有素的马戏团演员”有点苛刻，但我的评估是，这些实验几乎没有 告诉我们人类语言是如何进化的。
2 There is a large literature on chimpanzee language-learning experiments, which began in earnest during the 1960s. Key points in this literature are Beatrice and Alan Gardner’s teaching of sign language to Washoe (Gardner et al. 1989), and David Premack’s language experiments with Sarah using plastic chips of different colours and signs (Preniack and Premack 1972). A long-term research programme was begun in the 1970s at the Yerkes Language Research Centre by Sue Savage-Rumbaugh and Duane Rumbaugh (1993) who used symbols on a computer keyboard to represent words. Some of this work came under serious criticism from Terrace (1979, Terrace et al. 1979), who argued that the chimpanzee language abilities had been inadvertently exaggerated by poor methodology. Such criticisms were one factor that led to a switch from a teaching regime in which young apes were specifically trained to use symbols, to one in which they were simply exposed to language. In 1990 Sue Savage-Rumbaugh began work with Kanzi, a male bonobo, and soon claimed that he had acquired not only a large vocabulary but also a simple grammar (Greenfield and Savage-Rumbaugh 1990; Savage-Rumbaugh and Rumbaugh 1993). Both chimpanzees and bonobos have been shown to have an extensive understanding of spoken English. Even if this is the case, a vast gulf exists between chimpanzee ‘language’ abilities and those of humans – by the age of six children typically have a vocabulary of more than ten thousand words, can construct long sentences, and are constant commentators on the world around them. Steven Pinker’s (1994) description of chimpanzee linguists as ‘highly trained circus acts’ is a bit harsh, but my assessment is that these experiments have very little to tell us about how human language evolved.
3 一些学者，如 Bickerton （1990）、Arbib （正在出版） 和 Tallerman （正在出版） 反对任何直接的进化连续性 在人类语言和猿类发声之间，例如，声称所有猿类发声都是非自愿的，并且依赖于 在灵长类动物大脑的完全不同的部分，与人类语言中使用的部分完全不同。虽然有不可否认和重要的 差异，认为这些使进化的连续性无效，这让我感到很奇怪。Seyfarth（正在出版）简洁地 总结了连续性的情况，引用了证明行为、感知、认知之间连续性的研究 以及人类语言和灵长类动物声音交流的神经生理学。
3 Some scholars such as Bickerton (1990), Arbib (in press) and Tallerman (in press) argue against any direct evolutionary continuity between human language and ape vocalizations, claiming, for instance, that all ape vocalizations’ are involuntary and rely on quite different parts of the primate brain from those used in human language. While there are undeniable and significant differences, to argue that these invalidate evolutionary continuity strikes me as bizarre. Seyfarth (in press) has succinctly summarized the case for continuity, citing studies that demonstrate continuities between the behaviour, perception, cognition and neurophysiology of human speech and primate vocal communication.
4 古人类学家对谱系分歧的日期存在一些分歧。计算日期 通过检查不同物种的 DNA 差异程度，然后估计这些差异的速率 本来会出现的。Boyd 和 Silk （2000） 对如何测量这些差异和背离提供了简洁的解释 计算的日期。我引用的日期在文献中处于较年轻的一端，其他人则推动了 大猩猩/人类的分化可以追溯到 1000 万年前，黑猩猩/人类的分化可以追溯到 600 万年前。
4 There are some disagreements among palaeoanthropologists regarding the dates of lineage divergence. The dates are calculated by examining the extent of difference in the DNA of different species, and then estimating the rate at which those differences would have arisen. Boyd and Silk (2000) provide a succinct explanation of how such differences are measured and the divergence dates calculated. The dates I cite are towards the younger end of the spectrum within the literature, with others pushing the gorilla/human divergence back to 10 million years ago and the chimpanzee/human divergence to 6 million years ago.
5 Mitani （1996） 对非洲猿的发声行为进行了比较研究，解释了相似性和 差异。
5 Mitani (1996) provides a comparative study of African ape vocal behaviour, explaining the reasons for both similarities and differences.
6 Mitani 和 Gros-Louis （1995） 研究了黑猩猩和倭黑猩猩尖叫声的种类和性别差异，得出结论认为体型是一个影响因素。两者中体型相对较大的雄性 物种发出的叫声频率低于较小的雌性。
6 Mitani and Gros-Louis (1995) studied the species and sex differences in the screams of chimpanzees and bonobos, concluding that body size was an influential factor. The relatively larger males of both species emit calls of lower frequency than the smaller females.
7 有关使用回放来识别其含义的 vervet 呼叫的研究，请参见 Cheney 和 Seyfarth （1990）。里奇曼 （1976， 1978， 1987）描述了 Gelada 狒狒的发声，同时总结了长臂猿的歌声，以及它与 人类音乐的进化由 Geissmann （2000） 提供。
7 For a study of vervet calls that used playbacks to identify their meaning, see Cheney and Seyfarth (1990). Richman (1976, 1978, 1987) describes the vocalizations of gelada baboons, while a summary of gibbon song, and its possible relevance for the evolution of human music, is provided by Geissmann (2000).
8 斯特鲁萨克 （1967）。以下部分主要借鉴了 Cheney 和 Seyfarth 1990 中的材料。
8 Struhsaker (1967). The following section draws primarily on material in Cheney and Seyfarth 1990.
9 Cheney 和 Seyfarth （1990） 描述了长尾鸢如何在群体间遭遇的背景下发出豹子警报。伯恩 （pers. comm.） 表明，在对它们的工作原理没有任何深入理解的情况下使用此类 “技巧”。
9 Cheney and Seyfarth (1990) describe how a vervet gave a leopard alarm call in the context of an inter-group encounter. Byrne (pers. comm.) suggests that such ‘tricks’ are used without any deep understanding of how they work.
10 Zuberbuhler （2003， p. 270） 指出，非人类灵长类动物的小声乐曲目使其难以支持这一论点 他们的发声是有参考意义的。他还指出，目前尚不清楚少量的声学话语是否 反映了同样少量的心理表征，或者这些事情是否完全无关。
10 Zuberbuhler (2003, p. 270) notes that the small vocal repertoires of non-human primates make it difficult to support the case that their vocalizations are referential. He also notes that it is unclear whether the small number of acoustic utterances reflects a similarly small number of mental representations, or whether these matters are quite unrelated.
11 雷 （1998）。
11 Wray (1998).
12 “功能指涉”一词的意思是，它们用来指代外部世界的某物，而没有必要的 这样做的意图。Zuberbühler （2003， p. 269） 总结了关于非人类灵长类动物的叫声是否的争论 是引用的。
12 The term ‘functionally referential’ means that they serve to refer to something in the outside world without the necessary intention of doing so. Zuberbühler (2003, p. 269) summarizes the debate regarding whether or not the calls of non-human primates are referential.
13 Zuberbuhler （2003） 详细描述了戴安娜猴的警报声和为确定而进行的实验 它们是否具有参考性。他对这种观点表示同情，并得出结论，他们的调用是在“概念语义”上处理的 而不是 “感知-声学” 水平。
13 Zuberbuhler (2003) provides detailed descriptions of the alarm calls of Diana monkeys and the experiments undertaken to ascertain whether they are referential. He is sympathetic to this view, concluding that their calls are processed on a ‘conceptual-semantic’ rather than a ‘perceptual-acoustic’ level.
14 Hauser （2000） 描述了对恒河猴叫声的研究。
14 Studies on the calls of rhesus monkeys are described by Hauser (2000).
15 里奇曼（1987 年，第 199 页）。另见 Richman （1976， 1978） 对 gelada 猴子的研究，以及 Dunbar 和 Dunbar （1975） 的研究 对 gelada 的社会动态的研究。
15 Richman (1987, p. 199). See also Richman (1976, 1978) for his studies of gelada monkeys, and Dunbar and Dunbar (1975) for a study of the social dynamics of geladas.
16 里奇曼（1987 年，第 199 页）。
16 Richman (1987, p. 199).
17 Leinonen et al. （1991） 和 Linnankoski et al. （1994） 测试了人类儿童和成人识别情绪的能力 猴子叫声的内容。
17 Leinonen et al. (1991) and Linnankoski et al. (1994) tested the ability of human children and adults to identify the emotional content of monkey calls.
18 Leinonen et al. （2003） 探讨了人类和猕猴发出的话语波形是否存在相似性。
18 Leinonen et al. (2003) explored whether there are similarities in the waveforms of utterances made by humans and macaques.
19 吉本斯可能并不像以前认为的那样是一夫一妻制。Oka 和 Takenaka （2001） 对一组野生 Hylobates muelleri 进行了亲子鉴定，发现了额外配对交配的证据。Reichard （1995） 也报告了类似的发现 Hylobates lar.
19 Gibbons may not be as monogamous as once thought. Oka and Takenaka (2001) did parentage tests on a group of wild Hylobates muelleri and found evidence for extra-pair copulations. A similar finding had been reported by Reichard (1995) for Hylobates lar.
20 Geissmann （1984） 通过证明长臂猿杂交兄弟姐妹（来自 Hylobates pileatus 的父亲和 Hylobates lar 的母亲）不可能从他们的父母中的任何一个那里学习他们的发声，从而证明了特定歌曲的遗传易感性。
20 Geissmann (1984) demonstrated genetic predisposition for specific songs by showing that gibbon hybrid siblings (from a Hylobates pileatus father and a Hylobates lar mother) could not have learnt their vocalizations from either of their parents.
21 Cowlishaw （1992） 检验了女性唱歌以吸引男性的假设。如果是这种情况，那么女性应该停止唱歌 交配后;但他们没有。Ellefson （1974） 和 Tenaza （1976） 提出了女性唱歌是为了捍卫她们 领土。观察和歌唱播放实验支持了这一点，这些实验表明女性的反应不同 播放在他们领地的中心和边缘制作的后卫。Cowlishaw （1992） 也使用回放实验来论证 女性的歌声具有领土防御功能。
21 Cowlishaw (1992) tested the hypothesis that females sing to attract males. If this was the case then females should stop singing after mating; but they do not. Ellefson (1974) and Tenaza (1976) proposed the hypothesis that females sing to defend their territory. It was supported by observation and singing playback experiments, which showed that females respond differently to play backs made at the centre and at the edge of their territory. Cowlishaw (1992) also used playback experiments to argue that female singing has a territorial defence function.
22 Mitani 和 Marler （1989） 解释说，雄性长臂猿的歌曲非常多才多艺，歌曲很少重复，但由不同的支配 规则。
22 Mitani and Marler (1989) explain that male gibbon songs are highly versatile with songs rarely repeated but governed by distinct rules.
23 Cowlishaw （1992） 回顾了雄性长臂猿歌曲的证据，并对领土防御假说进行了否定，发现 领土冲突的数量与歌唱强度之间没有关系。未交配的雄性唱歌更频繁 并且比那些已经交配的轮流更长，一些雄性在交配后就不再唱歌了。继续唱歌的人可以 试图排斥竞争对手的雄性。Cowlishaw 通过证明 歌唱的数量和其他男性的反对数量。
23 Cowlishaw (1992) reviews the evidence for male gibbon songs and discounts the territorial defence hypothesis, finding that there is no relationship between the number of territorial conflicts and singing intensity. Unmated males sing more frequently and for longer bouts than those who have mated, and some males cease to sing after mating. Those who continue to sing may be attempting to repel rival males. Cowlishaw supports this hypothesis by showing that there is a positive correlation between the amount of singing and the amount of opposition from other males.
24 盖斯曼（2000 年，第 107 页）。
24 Geissmann (2000, p. 107).
25 Brockleman （1984） 假设长臂猿二重奏的功能是形成和维持成对的键。Geissmann （2000） 总结道 他用 Siamangs 对这个假设进行了检验。
25 Brockleman (1984) hypothesized that the function of gibbon duets was to form and maintain pair-bonds. Geissmann (2000) summarizes his tests of this hypothesis with siamangs.
26 Schaik 和 Dunbar （1990） 建议雄性与雌性一起唱歌，以宣传他们的配对地位。Cowlishaw （1992） 认为 这种二重奏的发生是为了降低领土冲突的成本。
26 Schaik and Dunbar (1990) suggested that males sing with females to advertise their paired status. Cowlishaw (1992) argues that duetting occurs to reduce the costs of territorial conflicts.
27 三谷 （1985）。
27 Mitani (1985).
28 Marler 和 Tenaza （1977） 证明了这种将一个呼叫分级为另一个呼叫的等级。
28 Such grading of one call into another was demonstrated by Marler and Tenaza (1977).
29 除非另有说明，否则以下部分的材料借鉴了 Mitani （1996）。
29 Unless otherwise specified, material in the following section draws on Mitani (1996).
30 伯恩 （pers. comm.）.
30 Byrne (pers. comm.).
31 Mitani 和 Brandt （1994） 探讨了影响黑猩猩长距离喘气的因素，发现黑猩猩内部的叫声比个体之间的叫声变化更大。
31 Mitani and Brandt (1994) have explored the factors that influence the long-distance pant-hoots of chimpanzees, finding that calls varied more within than between individuals.
32 Mitani et al. （1992） 是第一项确定黑猩猩喘气声的地理差异的研究。他们讨论 各种解释，然后得出结论说声乐学习是最有可能的。另一种可能的可能性是 呼叫差异可能源于供应的伪影 – 不同的声音无意中被喂食奖励 （Byrne pers. comm.）.
32 Mitani et al. (1992) is the first study to identify geographical differences in the pant-hoots of chimpanzees. They discuss various interpretations, before concluding that vocal learning is the most likely. The other likely possibility is that the call differences could have arisen from an artefact of provisioning – different sounds were unintentionally rewarded by feeding (Byrne pers. comm.).
33 Crockford 等人（2004 年）。
33 Crockford et al. (2004).
34 Seyfarth et al. （1994） 对大猩猩的双重咕噜声进行了研究，确定了“自发”和“回应”双重咕噜声， 并表明双咕噜声是个体独特的。
34 Seyfarth et al. (1994) provide a study of gorilla double grunts, identifying the ‘spontaneous’ and ‘answering’ double grunt, and showing that double grunts are individually distinctive.
35 这里的“更大”是指绝对的大脑大小。如果大脑大小是相对于体型来衡量的，那么 猿类和猴子 （Byrne pers. comm.）。
35 ’Bigger’ here refers to absolute brain size. If brain size is measured relative to body size there is some overlap between apes and monkeys (Byrne pers. comm.).
36 Zuberbühler （2003， p. 292） 指出，虽然声乐曲目通常看起来很小，但仔细检查可能会发现微妙的声学 变化。例如，对博茨瓦纳奥卡万戈三角洲狒狒的研究表明，它们的吠叫不断变化 在它们的声学结构中，例如当响应食肉动物或鳄鱼时，在 雄性之间的比赛，或者当呼叫者与群体分开时。Zuberbühler 认为，细微的声学变化 可以向接收者提供有关 Signaller 感知的外部事件的丰富信息。
36 Zuberbühler (2003, p. 292) notes that while vocal repertoires often appear small, close examination may reveal subtle acoustic variations. For instance, a study of baboons in the Okavango Delta of Botswana showed that their barks varied continuously in their acoustic structure across a number of contexts, such as when given in response to carnivores or crocodiles, during contests between males, or when callers were separated from the group. Zuberbühler suggests that subtle acoustic variations may provide recipients with rich information about the external event perceived by the signaller.
37 参见 Crockford 等人 （2004） 关于黑猩猩参与声音学习的论点，以及 Zuberbühler （2003， p. 292） 的总结 来自绢毛猴、恒河猴和其他黑猩猩研究的证据，证明非人类灵长类动物能够改变他们的 call 结构。
37 See Crockford et al. (2004) for arguments that chimpanzees engage in vocal learning and Zuberbühler (2003, p. 292) for a summary of evidence, from tamarins, rhesus monkeys and other chimpanzee studies, for the ability of non-human primates to modify their call structures.
38 Duchin （1990） 对黑猩猩和人类的口腔进行了比较研究，研究了黑猩猩和人类的口腔进化 演讲。
38 Duchin (1990) provides a comparative study of the oral cavity of the chimpanzee and human with regard to the evolution of speech.
39 参见 Zuberbühler （2003， p. 293） 关于非人类灵长类动物声带与其发声之间关系的总结。
39 See Zuberbühler (2003, p. 293) for a summary of the relationship between the vocal tract in non-human primates and their vocalizations.
40 斯坦福大学 （1999） 描述了黑猩猩狩猎，并对其对人类起源的影响进行了有益的讨论 行为。他指出，孤独猎人的成功率约为 30%，派对的成功率高达 100% 10 个或更多。
40 Chimpanzee hunting is described by Stanford (1999), with useful discussion about its implications for the origins of human behaviour. He cites success rates for lone hunters of about 30 per cent, increasing to as much as 100 per cent for parties of ten or more.
41 Boesch （1991） 记录了两个母亲显然“教”婴儿如何敲坚果的例子，这两个例子都没有涉及 任何声乐指令。这些例子强调了这种教学的非凡稀有性，因为其营养价值 坚果以及婴儿在学习如何打开它们时的困难。Cheney 和 Seyfarth （1990） 对 令人惊讶的是，Vervets 之间没有进一步的功能参考呼叫来补充捕食者警报呼叫。他们描述了一位母亲对她的婴儿发出的意为“跟从我”的呼唤是怎样的 对保护幼崽有相当大的好处，从而对她的进化有利。
41 Boesch (1991) records two instances of mothers apparently ‘teaching’ their infants how to crack nuts, neither of which involved any vocal instruction. These instances emphasize the extraordinary rarity of such teaching, in view of the nutritional value of nuts and the difficulty that infants have in learning how to open them. Cheney and Seyfarth (1990) have commented on the surprising absence of further functionally referent calls among vervets to supplement the predator alarm calls. They describe how a call that means ‘follow me’, made by a mother to her infant, would be of considerable benefit to the protection of the young, and hence to her evolutionary advantage.
42 这很可能是对猴子的一个非常重要的限制，而猴子最不可能有心智理论。事实上 他们似乎不太可能将其他人视为心理主体，其行为受信念、欲望和 知识（Zuberbühler 2003 年，第 298 页）。非洲类人猿的情况在多大程度上也存在争议。
42 This is most likely to be a very significant constraint on monkeys, which are most unlikely to have a theory of mind. Indeed, it seems unlikely that they perceive of other individuals as mental agents whose actions are driven by beliefs, desires and knowledge (Zuberbühler 2003, p. 298). The extent to which this is also the case for the African apes is more contentious.
43 有非常广泛的文献讨论了一般的心理理论，更具体地说，黑猩猩是否具有 它。主要出版物包括 Byrne 和 Whiten （1988， 1992） 编辑的卷，这些卷集中于 战术欺骗，以及 Russon 等人 （1996） 和 Carruthers 和 Smith （1996） 编辑的卷。波维内利 （1993， 1999） 进行了广泛的实验室实验，他认为，这些实验表明黑猩猩无法理解精神状态。 现在，Tomasello 等人（2003 年）的最新发现对这一点提出了挑战。Dunbar （1998） 讨论了 心灵和语言理论的演变。
43 There is a very extensive literature discussing theory of mind in general, and more particularly whether chimpanzees possess it. Key publications include the edited volumes by Byrne and Whiten (1988, 1992), which concentrated on the evidence from tactical deception, and the edited volumes by Russon et al. (1996) and Carruthers and Smith (1996). Povinelli (1993, 1999) has undertaken extensive laboratory experiments, which, he argues, show that chimpanzees cannot understand mental states. This has now been challenged by the latest findings of Tomasello et al. (2003). Dunbar (1998) discusses the relationship between the evolution of theory of mind and language.
44 Tomasello 等人（2003 年）。
44 Tomasello et al. (2003).
45 Dunbar （2004） 认为，现存的灵长类动物或已灭绝的原始人所拥有的意向性秩序可以从中推断出来 绝对的大脑大小。他坚持认为，意向性秩序的增加是认知进化的关键方面。
45 Dunbar (2004) argues that the orders of intentionality possessed by a living primate or extinct hominid can be inferred from absolute brain size. He maintains that increasing orders of intentionality are the critical aspect of cognitive evolution.
46 以下内容借鉴了 Tanner 和 Byrne （1996）。
46 The following draws on Tanner and Byrne (1996).
47 Zuberbühler （2003， p. 297） 解释说，没有证据表明非人类灵长类动物之间存在指涉手势。
47 Zuberbühler (2003, p. 297) explains that there is no evidence for referential gestures among non-human primates.
48 科勒（1925 年，第 319-20 页）。
48 Kohler (1925, pp. 319–20).
49 Savage-Rumbaugh 等人（1977 年）。另请参见 Tomasello 和他的同事进行的手势交流研究（Tomasello et al. 1985， 1989， 1994）。
49 Savage-Rumbaugh et al. (1977). See also the studies of gestural communication undertaken by Tomasello and his colleagues (Tomasello et al. 1985, 1989, 1994).
50 参见 Cheney 和 Seyfarth （1990， pp. 98-102） 对灵长类动物发声观点变化的简要总结。
50 See Cheney and Seyfarth (1990, pp. 98–102) for a brief summary of changing views about primate vocalizations.
51 我关于非人类灵长类动物缺乏指称的结论不会得到许多其他作家的同意，有些人的结论要多得多 比我自己更了解灵长类动物交流的专业知识。参见 Zuberbühler （2003） 对现有 文献和将指涉信号归因于灵长类动物的解释。
51 My conclusion that non-human primates lack referential calls will not be agreeable to many other writers, some with far more specialized knowledge of primate communication than my own. See Zuberbühler (2003) for a comprehensive review of the existing literature and an interpretation that attributes referential signalling to primates.
52 伯恩 （pers. comm.）.
52 Byrne (pers. comm.).
1 Sahel 的发现已被指定为新属 Sahelanthropus tchadensis 的新物种。Brunet 等人 （2002） 描述了它，而 Wood （2002） 则对其潜在意义进行了评论： 人类和猿类的进化史。
1 The Sahel discovery has been designated as a new species from a new genus, Sahelanthropus tchadensis. It is described by Brunet et al. (2002) while Wood (2002) provides a commentary regarding its potential significance in the evolutionary history of humans and apes.
2 除非另有说明，否则以下文本借鉴了 Boyd 和 Silk （2000） 以及 Johanson 和 Edgar （1996） 中的材料。
2 Unless otherwise specified, the following text draws on material in Boyd and Silk (2000) and Johanson and Edgar (1996).
3 Collard 和 Aiello （2000） 讨论了最近在 Australopithecus afarensis 和 Australopithecus anamensis 中鉴定的指关节行走特征的影响，评论了南方古猿 australopithecus afarensis 中陆生和树栖适应的混合。
3 Collard and Aiello (2000) discuss the implications of recent identification of knuckle-walking traits in Australopithecus afarensis and Australopithecus anamensis, commenting on the mix of terrestrial and arboreal adaptations in Australopithecus afarensis.
4 参见 Richmond 和 Stait （2000） 对 Lucy 的腕骨和类似标本的分析，这些标本表明指关节行走。 Collard 和 Aiello （2000） 评论了他们的结论。
4 See Richmond and Stait (2000) for an analysis of the wrist bones of Lucy and similar specimens that suggest knuckle-walking. Collard and Aiello (2000) comment on their conclusions.
5 关于对这些化石进行分类所涉及的困难，参见 Wood （1992）， Wood and Collard （1999）。
5 For the difficulties involved in classifying these fossils, see Wood (1992), Wood and Collard (1999).
6 关于这两个地方的考古学评论，见 Potts （1988） 和 Isaac （1989）。
6 For reviews of the archaeology within these two localities see Potts (1988) and Isaac (1989).
7 这场辩论的关键文章包括 Isaac （1978），提出了大本营、大量吃肉和食物共享的提议; Binford （1981） 提出原始人是“边缘食腐动物”的批评;Bunn （1981） 和 Potts and Shipman （1981）， 对于存在切割标记。Isaac （1983）、Bunn 和 Kroll （1986） 以及 Binford （1986） 继续辩论。
7 Key articles in this debate include Isaac (1978), for the proposal of home bases, substantial meat-eating and food sharing; Binford (1981) for a critique proposing that hominids were ‘marginal scavengers’; Bunn (1981) and Potts and Shipman (1981), for the presence of cut-marks. Isaac (1983), Bunn and Kroll (1986), and Binford (1986) continued the debate.
8 Dunbar （1988） 为群体规模与群体内攻击性之间的相关性提供了证据，并对 影响非人类灵长类动物群体规模的因素。
8 Dunbar (1988) provides evidence for a correlation between group size and within-group aggression, along with a review of the factors that influence group size in non-human primates.
9 大本营假说，后来更名为中心觅食，最初是由 Isaac （1978） 提出的。
9 The home base hypothesis, later rebranded as central place foraging, was originally proposed by Isaac (1978).
10 关于群体大小和大脑大小之间的关系，参见 Aiello 和 Dunbar （1993） 和 Dunbar （1992）。Aiello 和 Dunbar 建议 被归类为早期智人的化石的颅骨容量表明，群体规模在 71 到 92 个个体之间。
10 For the relationship between group size and brain size see Aiello and Dunbar (1993) and Dunbar (1992). Aiello and Dunbar suggest that the cranial capacity of fossils classified to early Homo indicate a group size between seventy-one and ninety-two individuals.
11 关于大脑大的成本和对高质量饮食的需求，很可能涉及肉类，参见 Aiello 和 Wheeler （1995）。
11 For the costs of a large brain and the need for a high quality diet, most likely involving meat, see Aiello and Wheeler (1995).
12 有关早期原始人技术（称为 Oldowan 工业）的摘要，请参见 Toth （1985）。
12 For a summary of early hominid technology, known as the Oldowan industry, see Toth (1985).
13 Toth 等人 （1993） 描述了涉及 Kanzi 的工具制造实验。
13 Toth et al. (1993) describe tool-making experiments involving Kanzi.
14 Dunbar （2004） 认为大脑大小和心理能力理论之间存在密切关系，这是通过一个人可以处理的意向性顺序来衡量的。
14 Dunbar (2004) argues for a strong relationship between brain size and theory of mind abilities as measured by the orders of intentionality one can handle.
15 以下关于口头手势的文本借鉴了 Studdert-Kennedy （1998， 2000） 以及 Studdert-Kennedy 和 Goldstein （2003）。
15 The following text regarding oral gestures draws on Studdert-Kennedy (1998, 2000) and Studdert-Kennedy and Goldstein (2003).
16 Moggi-Cecchi 和 Collard （2002） 描述了对 Stw 15 的镫骨化石的研究。他们的结论是敏感度高 Spoor 和 Zonneveld （1998） 对内耳骨迷路的研究支持音高。通过使用 CT 成像技术，Spoor 能够记录即将到来的原始人化石样本中耳蜗的高度和宽度 来自几个不同的物种。他发现早期原始人的骨迷宫相对较短，这是已知的 与整个哺乳动物对较高频率的感知相关。
16 Moggi-Cecchi and Collard (2002) describe the study of the fossil stapes from Stw 15. Their conclusion of sensitivity to high pitch is supported by the studies undertaken by Spoor and Zonneveld (1998) on the bony labyrinth of the inner ear. By using CT imaging techniques, Spoor was able to record the height and width of the cochlea in a sample of hominid fossils coming from several different species. He found that the bony labyrinth of early hominids was relatively short, which is known to correlate with the perception of higher frequencies among mammals as a whole.
17 托比亚斯 （1981， 1987）， 福尔克 （1983）。我对 endocasts 的价值持怀疑态度。Deacon （1997） 指出，其他古生物学家 已经表明，Homo habilis 大脑中存在额外的折叠可能只是尺寸增加的结果，而不是任何功能上独特的大脑进化的结果 地区。
17 Tobias (1981, 1987), Falk (1983). I am sceptical of the value of endocasts. Deacon (1997) notes that other palaeoneurologists have suggested that the presence of additional folding in the brain of Homo habilis may simply have been a consequence of increasing size rather than of the evolution of any functionally distinctive brain regions.
18 Rizzolatti 和 Arbib （1998），Arbib （正在出版）。
18 Rizzolatti and Arbib (1998), Arbib (in press).
19 Rizzolatti 和 Arbib （1998 年，第 189 页）。
19 Rizzolatti and Arbib (1998, p. 189).
20 Studdert-Kennedy 和 Goldstein （2003）。另见 Wray （2002a） 关于儿童公式化语言的习得。
20 Studdert-Kennedy and Goldstein (2003). Also see Wray (2002a) regarding the acquisition of formulaic language by children.
21 Studdert-Kennedy 和 Goldstein （2003 年，第 246 页）。
21 Studdert-Kennedy and Goldstein (2003, p. 246).
22 Rizzolatti 和 Arbib （1998） 以及 Arbib （正在出版）认为镜像神经元在语言进化中起着更基本的作用 而不是我在这里所建议的，在我看来，这是一个不必要的复杂场景，它拒绝了直接进化的想法 灵长类动物发声和人类语言之间的连续性。
22 Rizzolatti and Arbib (1998) and Arbib (in press) give mirror neurons a more fundamental role in the evolution of language than I am suggesting here, in what is, to me, an unnecessarily complicated scenario which rejects the idea of a direct evolutionary continuity between primate vocalization and human speech.
23 Rizzolatti 和 Arbib （1998 年，第 192 页）。
23 Rizzolatti and Arbib (1998, p. 192).
24 Brain （1981） 研究了南非遗址的原始人遗骸，并认为将这些遗骸定性为“被猎杀”是合适的 而不是“猎人”。
24 Brain (1981) studied hominid remains from South African sites and felt it was appropriate to characterize these as the ‘hunted’ rather than the ‘hunter’.
25 Berger 和 Clarke （1995） 已经确定鹰是 Taung 骨组合的积累器。
25 Berger and Clarke (1995) have identified the eagle as the accumulator of the Taung bone assemblage.
26 HAS 站点由 Isaac （1978） 和 Isaac （1989） 描述和解释，并在开发中发挥了关键作用 他的大本营/食物共享假说。
26 The HAS site is described and interpreted by Isaac (1978) and within Isaac (1989), and played a key role in the development of his home base/food sharing hypothesis.
27 Dunbar （1991） 考虑了修饰的功能意义，而 Aiello 描述了“声音修饰”假说 以及 Dunbar （1993） 和 Dunbar （1993， 1996）。
27 Dunbar (1991) considers the functional significance of grooming, while the ‘vocal grooming’ hypothesis is described by Aiello and Dunbar (1993) and Dunbar (1993, 1996).
28 Aiello 和 Dunbar （1993 年，第 187 页）。
28 Aiello and Dunbar (1993, p. 187).
29 Knight （1998） 和 Power （1998） 认为，由于发声很容易且成本低廉，因此它们不可靠，并且可能 用来欺骗。因此，它们不能像耗时那样用于表达对另一个人的承诺 物理修饰。
29 Knight (1998) and Power (1998) argue that because vocalizations are easy and cheap to make, they are unreliable and can be used to deceive. Consequently they cannot be used to express commitment to another individual in the same manner as the time-consuming physical grooming.
30 Power （1998） 建议，如果要提供阿片类药物的强化机制，发声梳理需要像歌曲一样 刺激使梳理变得愉快。
30 Power (1998) suggests that vocal grooming needs to be song-like if it is to provide the reinforcement mechanisms of opiate stimulation that make it pleasurable to be groomed.
31 仅存在镜像神经元可能是不够的，这可能使手动手势能够被模仿 用于 Oldowan 技术的发展和文化传播。掌握制作石器的艺术，例如这些 一个人必须欣赏行为背后的意图，而这需要一种心智理论。
31 The presence of mirror neurons alone, which may have enabled manual gestures to have been imitated, would not have been sufficient for the development and cultural transmission of Oldowan technology. To master the art of making stone tools such as these one must appreciate the intention that lies behind an action, and this requires a theory of mind.
32 Bunn et al. （1980） 和 Isaac （1989） 描述了 FxJj50 的位点。
32 The site of FxJj50 is described is described by Bunn et al. (1980) and within Isaac (1989).
10. 进入节奏
10. Getting into rhythm
1 Wood 和 Collard （1999）。
1 Wood and Collard (1999).
2 布莱金（1973 年，第 vi-vii 页）。
2 Blacking (1973, pp. vi–vii).
3 有关人类和猿类之间解剖学差异的精彩描述，请参见 Lewin （1999）。这项工作被借鉴 在下面的文本中。
3 For an excellent description of the anatomical differences between humans and apes, see Lewin (1999). This work is drawn on in the following text.
4 Lewin （1999 年，第 93 页）。
4 Lewin (1999, p. 93).
5 关于这个标本的描述，以及本文中提到的其他标本，参见Johanson和Edgar （1996）。
5 For a description of this specimen, and others referred to in this text, see Johanson and Edgar (1996).
6 Spoor 等人（1994 年）。
6 Spoor et al. (1994).
7 亨特 （1994）。
7 Hunt (1994).
8 大约 200 万年前，东非经历了一次干旱的大幅增加。DeMenocal （1995） 提供了一个简洁的概述 东非的气候变化以及它与人类进化的关系。
8 East Africa experienced a major increase in aridity around 2 million years ago. DeMenocal (1995) provides a succinct overview of climate change in East Africa and how it appears to relate to human evolution.
9 “站得高，保持冷静”是《新科学家》文章的标题，惠勒（1988）在这篇文章中总结了他的理论。针对特定元素的更长、更学术的文章 的理论由 Wheeler （1984， 1991， 1994） 提供。
9 ’Stand tall and stay cool’ was the title of the New Scientist article within which Wheeler (1988) summarized his theory. Longer and more academic articles addressing specific elements of the theory are provided by Wheeler (1984, 1991, 1994).
10 Aiello （1996 年）。
10 Aiello (1996).
11 克莱格 （2001）。
11 Clegg (2001).
12 以下文本引用了 Wray （1998， 2002a， c）。
12 The following text draws on Wray (1998, 2002a, c).
13 Wray （1998， 2002c） 还指出，自相矛盾的是，比克顿的原始语言对于什么 原始人和早期人类需要。文字的可用性允许构建新颖的信息，但大多数社交交流 非人类灵长类动物，以及现代人类中的很多灵长类动物（例如，'早上好'、'你今天怎么样'），都是整体性的 character – 一组以最少的处理来理解和响应的例程。
13 Wray (1998, 2002c) also suggests that, paradoxically, a Bickertonian proto-language would have been too powerful for what hominids and Early Humans required. The availability of words allows novel messages to be constructed, but the majority of social communication among non-human primates, and a great deal among modern humans (for example, ‘Good morning’, ‘how are you today’), is holistic in character – a set of routines that are understood and responded to with minimal processing.
14 雷和格雷斯（正在出版）令人信服地论证说，语言的本质之间存在着重要的关系 和社会组织。引用他们的话：“现代世界培养了被陌生人包围的庞大社区， 并且经常在地理上与家人和最有共同兴趣和关注的人分开。摩登 复杂的社会偏爱专业的职业和消遣，这些职业和消遣为个人提供了某些方面的特殊专业知识 排除其他领域的。相比之下，第一批语言使用者可能生活在相当小的熟悉群体中， 大多数与基因密切相关的个体，作为一个“亲密社会......哪里 所有通用信息均已共享”。
14 Wray and Grace (in press) have persuasively argued that there is a significant relationship between the nature of language and social organization. To quote them: ‘The modern world fosters huge communities of people who are surrounded by strangers, and often separated geographically from their family and from those who most closely share their interests and concerns. Modern complex society favours specialized professions and pastimes that furnish the individual with particular expertise in some areas to the exclusion of others. In contrast, the first language-users presumably lived in fairly small groups of familiar, mostly closely genetically related, individuals, engaged in common purposes and activities as a “society of intimates … where all generic information was shared”.’
15 杰克多夫 （1999）。
15 Jackendoff (1999).
16 Bickerton （1995） 将原始语言与直立人及其发展过程中的长期“半停滞”联系起来。Bickerton （2000） 认为原始语言有 2000 年的历史。
16 Bickerton (1995) associated proto-language with Homo erectus and a long period of ‘semi-stagnation’ in its development. Bickerton (2000) suggests there were 2000 years of proto-language.
17 Bickerton 对整体原始语言的批评见于 Bickerton （2003）。Tallerman（正在出版）提供了更长的 批判。
17 Bickerton’s criticisms of holistic proto-language are found in Bickerton (2003). Tallerman (in press) provides a much longer critique.
18 Tallerman（正在出版）提到了五种这样的不连续性：人类的语音和灵长类动物的发声由不同的 大脑的一部分;灵长类动物的叫声是非自愿的;人类的语言和灵长类动物的叫声具有不同的生理基础;灵长类动物 呼叫是通过基因传递的;人类语言在声音和意义之间有一种分离，这在灵长类动物的叫声中是不存在的。 虽然不可否认，这些说法都有一定的道理，但区别在于灰色的阴影，而不是非黑即白的阴影。 进化是一个变化的过程——它是改变特定神经、生理和行为的过程 人类/黑猩猩共同祖先使用的灵长类动物叫声与人类语言的叫声的各个方面。
18 Tallerman (in press) refers to five such discontinuities: human speech and primate vocalizations are handled by different parts of the brain; primate calls are involuntary; human speech and primate calls have a different physiological basis; primate calls are genetically transmitted; human speech has a dissociation between sound and meaning that is absent from primate calls. While there is undeniably some truth in each of these claims, the differences are shades of grey rather than black and white. Evolution is a process of change – it is the process that transformed the particular neural, physiological and behavioural aspects of primate calls used by the human/chimpanzee common ancestor into those of human language.
19 赛法斯（出版中）。我理解一些语言学家可能希望区分 Seyfarth 对“speech”一词的使用。 以及他们对“语言”一词的使用。
19 Seyfarth (in press). I appreciate that some linguists may wish to discriminate between Seyfarth’s use of the word ‘speech’ and their use of the word ‘language’.
20 伯杰（2002 年，第 113 页）。
20 Berger (2002, p. 113).
21 以下文本借鉴了 Thaut 等人（1997 年、2001 年）和 Hurt 等人（1998 年）。
21 The following text draws on Thaut et al. (1997, 2001) and Hurt et al. (1998).
22 关于这种关联，参见 Friberg 和 Sundberg （1999） 以及 Shove 和 Repp （1995）。Friberg 和 Sundberg （1999， p. 1469） 引用 Truslit 在 1938 年的一项研究中指出：“每一次渐强和渐弱，每一次加速和减速，都只不过是不断变化的运动能量的表现，无论它们是纯粹的运动还是运动的表达。
22 For this association, see Friberg and Sundberg (1999) and Shove and Repp (1995). Friberg and Sundberg (1999, p. 1469) cite a 1938 study by Truslit that argued: ‘Every crescendo and decrescendo, every accelerando and decelerando, is nothing but the manifestation of changing motion energies, regardless of whether they are intended as pure movement or as expression of movement.’
23 关于 Sundberg 关于音乐与运动之间关系的研究，参见 Sundberg et al. （1992），它显示了信息如何 On 运动特性可以通过使用脚的力模式作为声级包络来传递给听众; 以及 Friberg 和 Sundberg （1999），他们研究了跑步中的减速与最终 ritardandi 之间的关联 音乐表演。
23 For Sundberg’s studies on the relationship between music and motion, see Sundberg et al. (1992), which shows how information on locomotion characteristics could be transferred to listeners by using the force patterns of the foot as sound-level envelopes; and Friberg and Sundberg (1999), which examined the association between deceleration in running and the final ritardandi of musical performances.
24 布莱金（1973 年，第 111 页）。
24 Blacking (1973, p. 111).
25 Bramble 和 Lieberman （2004）。
25 Bramble and Lieberman (2004).
26 我很感激我的女儿希瑟（Heather）从她关于芭蕾舞的书中摘取了“蔓藤花纹”和“échappé”这两个词。 蔓藤花纹是一条直腿的姿势，工作腿笔直伸到身体后面。échappé 是跳进去 双脚从闭合位置开始，在空中分离，然后分开着陆。
26 I am grateful to my daughter, Heather, for the terms ‘arabesque’ and ‘échappé’, which I have drawn from her book about ballet. An arabesque is a pose on one straight leg with the working leg extended straight behind the body. An échappé is a jump in which the feet begin in a closed position and separate in the air before landing apart.
27 现代人还有另外两类手势，这两类都不应归于前现代人类。象征 手势是有意为之的，并且以高度标准化的形式出现，这些形式通常是特定于特定文化的。这些是 V 表示胜利、竖起大拇指或 OK-type 手势。这些通常也是标志性的形式，有时是口语的衍生物 word 本身。第三种类型的手部动作是手语中使用的手部动作。这些在形式上具有象征意义，构成了“自然的 language“，因为它们有语法，并且在所有方面都等同于人类口语。
27 Modern humans also have two other classes of gesture, neither of which should be attributed to pre-modern humans. Emblematic gestures are intentional and come in highly standardized forms, which are often specific to particular cultures. These are the V for victory, thumbs-up or OK-type gestures. These are also often iconic in form, sometimes being derivative of the spoken word itself. A third type of hand movement is those used in sign language. These are symbolic in form and constitute a ‘natural language’ because they have a grammar and are equivalent in all respects to human spoken language.
28 Aboudan 和 Beattie （1996） 对讲英语和阿拉伯语的人进行的实验研究证明了这一点。
28 This was demonstrated by experimental studies using English- and Arabicspeakers by Aboudan and Beattie (1996).
29 Beattie （2003） 总结了他关于手势和口语之间关系的工作。他的主要实验样本 在 Beattie 和 Shovelton （1999， 2000， 2002） 中发现。
29 Beattie (2003) summarizes his work on the relationship between gesture and spoken utterance. A sample of his key experiments is found in Beattie and Shovelton (1999, 2000, 2002).
30 麦克尼尔 （1992）。
30 McNeill (1992).
31 麦克尼尔（2000 年，第 139 页）。
31 McNeill (2000, p. 139).
32 关于肢体语言的一本受欢迎但见多识广且内容丰富的书，参见 Pease （1984），下文引用了该书。
32 For a popular but informed and informative book on body language see Pease (1984), which is drawn upon in the following text.
33 据称，私密区的大小因文化而异，对于美国人来说，私密区的大小要大得多，在 46-112 厘米，而欧洲人和日本人的 20-30 厘米。这可能会导致对行为的误解 – 美国人可能会觉得日本人在谈话中不恰当地亲密（Beattie 2003）。
33 It is claimed that the size of the intimate zone varies between cultures, that for Americans being significantly larger, at 46–112 centimetres, than for Europeans and Japanese, at 20–30 centimetres. This can lead to misinterpretations of behaviour – an American might feel that a Japanese is being inappropriately intimate during a conversation (Beattie 2003).
34 我发现 Marshall （2001） 对演员如何使用他们的身体进行表演和表达有一个有用的见解。
34 I have found Marshall (2001) a useful insight into how actors use their bodies for performance and expression.
35 拉班 （1988 [1950]，第 19 页）。
35 Laban (1988 [1950], p. 19).
36 皮斯（1984 年，第 9 页）。
36 Pease (1984, p. 9).
37 Trevarthen （1999年，第171页）。
37 Trevarthen (1999, p. 171).
38 拉班 （1988 [1950]，第 1 页）。
38 Laban (1988 [1950], p. 1).
39 拉班 （1988 [1950]，第 94 页）。
39 Laban (1988 [1950], p. 94).
40 拉班（1988 [1950]，第 82-3 页）。
40 Laban (1988 [1950], pp. 82–3).
41 MacLarnon 和 Hewitt （1999） 证明了这一点，他们测量了胸椎管的大小——通过 控制横膈膜和呼吸的神经通过它 – 在各种化石标本上。胸椎 KNM-WT 15000 的管大小与南方古猿和非洲猿相似，而尼安德特人标本的管大小与智人相当。
41 This was demonstrated by MacLarnon and Hewitt (1999), who measured the size of the canals of the thoracic vertebrae – through which the nerves for controlling the diaphragm, and hence breathing, pass – on a variety of fossil specimens. The thoracic canal of KNM-WT 15000 is similar in size to those of the australopithecines and the African apes, while those of the Homo neanderthalensis specimens are equivalent to that of Homo sapiens.
42 Ruff 等人（1997 年）。
42 Ruff et al. (1997).
11. 模仿自然
11. Imitating nature
1 有关 Schöningen 长矛的描述，请参见 Thieme （1997）。在 Schöningen 发现，来自 Clacton（英国）和 Lehringen（德国）。在这两种情况下，都只保留了尖端，即 对它们作为长矛的有效性，或者实际上它们是否来自长矛，有不同的解释 都。
1 For a description of the Schöningen spears, see Thieme (1997). Two other spear fragments were known from Europe prior to the Schöningen discoveries, coming from Clacton (England) and Lehringen (Germany). In both cases only tips were preserved, which were open to various interpretations regarding their effectiveness as spears or, indeed, whether they were from spears at all.
2 在 1960 年代后期，人们普遍认为所有前现代人类都是大型猎物猎人;确实，大型狩猎 与人性的定义隐含地联系在一起。Brain （1981） 和 Binford （1981） 的出版物挑战了这一共识 关于上更新世的原始人，他们认为他们是“被猎杀而不是猎人”，并且是“边缘食腐者”。 Binford （1984， 1985， 1987） 质疑欧洲的早期人类是否是大型猎物猎人，而 Gamble （1987） 则重新诠释了 Clacton 和 Lehringen 作为寻找冰冻尸体的雪探测器。
2 In the late 1960s there was a consensus view that all pre-modern humans had been big-game hunters; indeed, big-game hunting was implicitly linked to the definition of humanity. Publications by Brain (1981) and Binford (1981) challenged the consensus with regard to Plio-Pleistocene hominids, arguing that they were the ‘hunted rather than the hunters’ and were ‘marginal scavengers’. Binford (1984, 1985, 1987) questioned whether the Early Humans in Europe were big-game hunters, while Gamble (1987) reinterpreted the Clacton and Lehringen ‘spears’ as snow-probes for finding frozen carcasses.
3 Dennell （1997， pp. 767-8） 在宣布发现它们的《自然》杂志上对 Schöningen 长矛提出了重要评论。
3 Dennell (1997, pp. 767–8) provided an important comment regarding the Schöningen spears in the issue of Nature in which their discovery was announced.
4 关于对原始人传播态度变化的良好评价，参见 Straus 和 Bar-Yosef （2001） 和 Rolland （1998）。这是 然而，一个快速、快速发展的领域和改变我们理解的新发现不应该出乎意料。
4 For good reviews of changing attitudes to hominid dispersal, see Straus and Bar-Yosef (2001) and Rolland (1998). This is, however, a fast, fast-moving field and new discoveries that change our understanding should not be unexpected.
5 这些新的测年结果仍然存在争议，因为它们来自附着在骨骼上的沉积物，而不是骨骼本身。 而这些头骨可能只是被埋在比骨头本身古老得多的沉积物中。关于爪哇直立人标本的重新年代，参见 Swisher 等人（1994 年）。有关该声明的评估，请参见 Sémah et al. （2000）。然而，许多考古学家非常同情新的年代，因为它们似乎符合石制品 200 万年前的拟议年代 来自巴基斯坦的 Riwat 高原。Robin Dennell 和他的同事在 1987 年发现了这些“文物”（Dennell 等人，1988 年）。 它们看起来就像 Oldowan 切碎工具——鹅卵石，从中分离出一个或多个薄片。Dennell 问题 是这些分离可能是由于在河水携带时与其他鹅卵石碰撞而形成的。因此 Riwat 的“人工制品”可能是自然力量的产物，而不是原始人的打砸。然而，如果他们是在 奥杜威峡谷没有人会质疑他们的文化真实性。
5 These new dates remain controversial because they derived from sediment attached to the bone rather than the bone itself, and the skulls might simply have become buried in sediment much older than the bones themselves. For redating of the Java Homo erectus specimens see Swisher et al. (1994). For an evaluation of the claim, see Sémah et al. (2000). Many archaeologists were, however, very sympathetic to the new dates, as they seemed to fit with a proposed date of 2 million years ago for stone artefacts from the Riwat Plateau in Pakistan. Robin Dennell and his colleagues had found these ‘artefacts’ in 1987 (Dennell et al. 1988). They look just like Oldowan chopper tools – cobbles of stone from which one or more flakes have been detached. Dennell’s problem is that the detachments could have been made by collisions with other cobbles when being carried by river water. Consequently, the Riwat ‘artefacts’ might be a product of natural forces rather than hominid knapping. And yet, had they been found within Olduvai Gorge no one would have questioned their cultural authenticity.
6 Wanpo et al. （1995） 描述了这些文物，并声称来自中国隆古坡洞的 Homo 遗骸。
6 Wanpo et al. (1995) describe the artefacts and claimed Homo remains from Longuppo Cave, China.
7 Zhu 等人（2004 年）。
7 Zhu et al. (2004).
8 Tchernov （1995） 回顾了黎凡特南部最早的化石和考古证据，包括那些 来自 'Ubeidiya。
8 Tchernov (1995) provides a review of the earliest fossil and archaeological evidence from the southern Levant, including those from ‘Ubeidiya.
9 Gabunia 等人（2000 年）描述了来自 Dmanisi 的 Homo ergaster 头骨，而 Lordkipanidze 等人（2000 年）提供了有关发现地点和背景的信息。
9 Gabunia et al. (2000) describe the Homo ergaster skulls from Dmanisi, while Lordkipanidze et al. (2000) provide information about the site and context of discovery.
10 Lordkipanidze 等人（2000 年）。
10 Lordkipanidze et al. (2000).
11 Carbonell et al. （1995， 1999） 描述了 TD6， Atapuerca 的原始人遗骸、它们的年代和考古背景。重要 最近关于欧洲殖民化的出版物是由 Palmqvist （1997） 和 Arribas 和 Palmqvist （1999） 发表的。
11 Carbonell et al. (1995, 1999) describe the hominid remains from TD6, Atapuerca, their dating and archaeological context. Important recent publications about the colonization of Europe are by Palmqvist (1997) and Arribas and Palmqvist (1999).
12 Gibert et al. （1998） 描述了 Orce 的人工制品、测年证据和古生物学遗迹，而 Roe （1995） 提供有关该网站的评论。Moya-Sola 和 Kohler （1997） 以及 Gibert 等人 （1998） 讨论了原始人的地位 仍然。
12 Artefacts, dating evidence and palaeontological remains from Orce are described by Gibert et al. (1998), while Roe (1995) provides a commentary about the site. Moya-Sola and Kohler (1997) and Gibert et al. (1998) discuss the status of the hominid remains.
13 磁反转测年法的依据是地球磁场在磁共振过程中周期性地反转 ，因此现在的南极就是北极，反之亦然。它不是很清楚 为什么会发生这种反转，或者反转需要多长时间才能完成，但它们的存在是有据可查的 来自世界各地的沉积岩和火成岩。沉积物中的含铁矿物就像微小的磁铁 并记录沉积物固结成岩石时的磁场。同样，当火成岩冷却时 低于一定温度时，其含铁矿物也会根据磁力的方向固定 田。磁场反转的日期是通过反转边界的放射性同位素测年来确定的; 一些逆转已被证明持续了数百万年，而另一些则持续了数万年 年，并在正常极性和反向极性之间显示出相对快速波动的模式。在 Orce 等遗址，已经为一系列岩石建立了一种反转模式，然后必须与已知和年代相关的岩石相关联 global pattern 来确定它们的日期。
13 Magnetic reversal dating is based on the fact that the earth’s magnetic field has periodically reversed during the course of the planet’s history, so that what is now the South Pole was the North Pole, and vice versa. It is not well understood why such reversals occur, or how long it takes for a reversal to becomes complete, but their existence is well documented from sedimentary and igneous rocks from throughout the world. Iron-bearing minerals within sediments act like tiny magnets and record the magnetic field at the time the sediment becomes consolidated into rock. Similarly, when an igneous rock cools below a certain temperature, its iron-bearing minerals also become fixed in accordance with the direction of the magnetic field. The dates of the magnetic field reversals have been established by radioisotopic dating of the reversal boundaries; some reversals have been shown to have lasted for several million years, while others lasted for a few tens of thousands of years and show a pattern of relatively rapid fluctuation between normal and reversed polarities. At sites such as Orce, a pattern of reversals has been established for a sequence of rocks, which then has to be correlated with the known and dated global pattern in order to establish their date.
14 关于博克斯格罗夫，参见 Roberts 和 Parfitt （1999）。
14 For Boxgrove, see Roberts and Parfitt (1999).
15 据 Simon Parfitt 在 2005 年 1 月 5 日于伦敦举行的第四纪研究协会会议上报告。
15 As reported by Simon Parfitt at the Quaternary Research Association meeting in London, 5 January 2005.
16 关于弗洛里斯人（Homo floresiensis）的描述，参见Brown等人（2004年），以及相关的考古学，Morwood等人（2004年）。Lahr 和 Foley （2004） 提供了一个有用的 关于这一发现意义的评论。
16 For the description of Homo floresiensis, see Brown et al. (2004), and for its associated archaeology, Morwood et al. (2004). Lahr and Foley (2004) provide a useful commentary on the significance of this find.
17 Morwood 等人 （1998） 描述了这些。
17 These were described by Morwood et al. (1998).
18 关于手斧制造的描述以及它与 Oldowan 工具的对比，参见 Pelegrin （1993）。
18 For a description of hand-axe manufacture and how this contrasts with Oldowan tools, see Pelegrin (1993).
19 Boxgrove 由 Roberts 等人 （1994） 描述。
19 Boxgrove is described by Roberts et al (1994).
20 Turner （1992） 从这个角度研究了原始人。
20 Turner (1992) has treated hominids from this perspective.
21 这是 Mithen 和 Reed （2002） 模拟工作的基础原则。
21 This is the principle underlying the simulation work of Mithen and Reed (2002).
22 从与学术界同事的会面中，我的印象是，舆论的分量表明不应该：我们应该对待原始人 在 200 万年前，就像任何其他大型更新世哺乳动物一样。我不同意，认为冒险精神是天生的 早期在人类中。
22 My impression from meetings with academic colleagues is that the weight of opinion suggests not: we should treat hominids at 2 million years ago like any other large Pleistocene mammal. I disagree, believing that the spirit of adventure was born early within humankind.
23 海平面较低的时期对原始人来说可能至关重要（Mithen 和 Reed 2002）。沿海景观 将为 Homo ergaster 的队伍提供丰富的觅食地。事实上，可能只有沿着海岸走，从而避开茂密的森林和山脉，原始人才能 可能在 Java 头骨的早期日期所暗示的短时间内传播到东南亚。原始人可能 也能够进行短途水交涉，因为已经发现了据称可追溯到 800， 000 年前的石制品 在弗洛雷斯岛上，只能通过水路穿越才能到达（Morwood 等人，1998 年）。
23 Periods of lower sea level are likely to have been crucial for hominid disperals (Mithen and Reed 2002). Coastal landscapes would have provided rich foraging grounds for parties of Homo ergaster. Indeed, it may have been only by following the coast, and hence avoiding thick forests and mountain chains, that hominids could have spread to south-east Asia in the short time frame suggested by the early dates on the Java skulls. Hominids may also have been able to make short water crossings, as stone artefacts claimed to date to 800, 000 years ago have been found on Flores Island, which could only have been reached by a water crossing (Morwood et al. 1998).
24 有关狩猎的详细说明 ！Kung see Lee （1979）。那些猎人花了很多时间讨论猎物的动作 以及他们看到的足迹和小径，通常借鉴了女性植物采集者的观察。这种语言的使用 在关注语言在社会互动中的作用的语言起源理论中被忽视了，例如 Dunbar （1996） 的声带修饰理论。
24 For detailed descriptions of hunting by the !Kung see Lee (1979). Those hunters spent many hours discussing game movements and the tracks and trails they had seen, often drawing on the observations made by female plant gatherers. This use of language has been neglected in theories of the origin of language that focus on the role of language in social interaction, such as the vocal grooming theory of Dunbar (1996).
25 唐纳德（1991 年，第 168 页）。
25 Donald (1991, p. 168).
26 唐纳德（1991 年，第 169 页）。
26 Donald (1991, p. 169).
27 唐纳德关于拟态文化的想法是在 1991 年出版后，我第一次读到它们，当时我只是在形成自己关于人类思想进化的想法，完全不相信。 我无法想象非语言的原始人会用哑剧来交流他们所看到的事物 可能发生的景观或事件。对我来说，一个关键问题是这种形式的模仿涉及“位移”——参考 要么指向过去，要么指向未来——这是现代人类语言的一个关键特征。事实上，被取代的思想的能力 经常被争论为依赖于语言，在 1991 年，我发现这个想法很有说服力。但随着证据的复杂程度 Homo ergaster 及其直系后代的行为已经积累起来，尤其是关于向非洲扩散的观点，即此类物种 缺乏规划未来和反思过去的能力似乎站不住脚，如果不是很荒谬的话。如何 例如，一棵云杉树会被砍下来，做成一把投掷的长矛，而不需要一些预料，无论多么模糊。 未来的狩猎活动？现在我已经开始欣赏非语言声音交流和身体的重要性 语言中，我还认识到 Donald 在提出 mimesis 作为 Early 的关键手段时做出的开创性贡献 人际交往。事实上，我现在几乎不可能不把 Homo ergaster、Homo erectus 和 Homo heidelbergensis 看作是从事各种形式的哑剧，以补充他们关于自然世界的其他交流方式。
27 I first read Donald’s ideas about mimetic culture as soon as they were published in 1991, at a time when I was just formulating my own ideas about the evolution of the human mind, and was entirely unconvinced. I was unable to imagine non-linguistic hominids engaged in mime as a means of communicating either things they had seen in the landscape or events that might occur. A key problem for me was that mimesis of this form involved ‘displacement’ – reference to either the past or the future – which is a key feature of modern human language. Indeed, the capacity for displaced thought is often argued to be dependent on language, and in 1991 I found that idea persuasive. But as the evidence for more complex behaviour by Homo ergaster and its immediate descendants has accumulated, especially that concerning dispersal out of Africa, the idea that such species lacked an ability to plan for the future and reflect on the past has come to seem untenable, if not quite ridiculous. How, for instance, could a spruce tree have been cut down and shaped into a throwing spear without some anticipation, however vague, of a future hunting event? Now that I have come to appreciate the significance of non-linguistic vocal communication and body language, I have also recognized the seminal contribution that Donald made when he proposed mimesis as a key means of Early Human communication. Indeed, I now find it almost impossible not to think of Homo ergaster, Homo erectus and Homo heidelbergensis as being engaged in various forms of mime to supplement their other means of communication about the natural world.
28 以下文本引用了 Marshall （1976）。
28 The following text draws on Marshall (1976).
29 男孩们也在遭遇和攻击的游戏中使用模仿：人们会模仿狮子的咆哮和跳跃，或者假装是狮子 一只鬣狗在晚上溜进营地咬其他男孩，这些男孩假装睡着了，会跳起来大喊大叫。 挥舞着手臂把鬣狗吓跑。另一个游戏涉及一个男孩模仿 gemsbok，用棍子在他的头发上 代表角，而其他人则模仿跟踪并杀死动物的猎人。马歇尔曾经看到一些男人在玩 豪猪游戏：它们的头发上戴着豪猪刺，一边咆哮一边用手指在沙子上划出爪痕 凶猛地。一个豪猪人假装被杀;他滚成一个球，模仿豪猪抽搐的死亡 阵痛，而围观者则大笑起来。
29 Boys also used mimicry in games of encounter and attack: one would imitate a lion growling and springing, or pretend to be a hyena slipping into the camp at night to bite the other boys, who pretended to be asleep and would jump up shouting and waving their arms to scare the hyena away. Another game involved one boy imitating a gemsbok, using sticks in his hair to represent horns, while the others imitated the hunters who stalked and killed the animal. Marshall once saw some men play the game of porcupine: they wore porcupine quills in their hair and made claw marks in the sand with their fingers while snarling ferociously. One porcupine-man pretended to be killed; he rolled into a ball and imitated the porcupine’s twitching death throes, while the onlookers guffawed with laughter.
30 心理学家之间关于如何定义模仿的争论由来已久。在外人看来，这在很大程度上 争论似乎痴迷于没有实际意义的细微术语区别。但有一个问题是 考虑到早期人类如何模仿动物和鸟类作为其交流的一部分，这一点非常重要 系统。一些心理学家认为，“真正的”模仿不仅需要模仿另一个人的身体动作 或动物，但也要理解这些动作背后的意图。这就要求模仿者 “进入头脑” 被复制的人/动物。无论梅林·唐纳德 （Merlin Donald） 相信什么，我对早期人类模仿的看法是，它确实如此 不涉及想象或相信他们正在成为他们正在模仿的动物的意义上的“思考动物”。在这方面，它 可能与现代狩猎采集者对动物的模仿完全不同。大量的动物 模仿由 ！Kung，澳大利亚原住民，或者说，任何现代狩猎采集者，都与一个神话有关 人和动物可以在其中相互转换的世界。模仿通常作为宗教仪式的一部分进行 其中所代表的动物是祖先的生物，而不仅仅是自然界的实体。那些承诺 表演可能会发挥相关动物的力量，这些动物通常被赋予类似人类的思想 和意图——就像我们谈论“狡猾的狐狸”、“勇敢的狮子”和“聪明的猫头鹰”时所做的那样。当萨满进入恍惚状态时 他们相信自己被转化为具有类似动物品质的实体，尤其是飞行能力。我们可以参考 将其视为“心理”模仿，它肯定有助于我们尽可能地捕捉动物的精确动作 术语 'physical' mimesis.我怀疑早期人类在很大程度上被限制在后者;他们没有 “认为动物” 与现代狩猎采集者或智人的任何成员的方式相同。我这样做的原因在于他们的思想结构。正如我在本书的序言中所说，我之前 认为早期人类有一种特定领域的心态，在这种心态中，他们的思想与“人”、“动物”和 “人工制品”彼此之间是完全孤立的——“社会”、“自然历史”和“技术”智能。此特定于域的 心态解释了他们缺乏艺术、宗教和文化创新的原因，我将回到它如何促成和限制 第 15 章讨论尼安德特人时的行为。当现代人类进行“精神”模仿时，他们显然是 整合他们的社会和自然历史智能——想象，实际上是创造，一个属于人类的实体，以及 部分是动物。这种“认知流动”的思想在一些最早的图像中首次出现 冰河时代的艺术，例如 Hohlenstein Stadel 的狮子人雕刻和 Chauvet 的“野牛人”绘画，两者都可以追溯到 到大约 30， 000 年前。我相信，早期人类的模仿在本质上更加平淡无奇：它与物理有关 仅作为传达自然世界信息的一种手段。没有转变为人与动物 狮子、马、鹰或熊的 “感觉” 的实体或想法。这可能抑制了他们 显示;例如，我们今天很难在不想象飞翔会是什么样子的情况下模仿一只鸟。 另一方面，我们完全能够模仿风中吹拂的树木或赛车，而无需归因于这些实体 思想和感受。总而言之，我们可以将早期人类描述为具有明喻的能力——他们可以是“像” 动物——但不是比喻——他们不能“变成”动物。
30 There is a lengthy history of debate among psychologists as to how imitation should be defined. To an outsider, much of this debate appears to dwell obsessively on fine terminological distinctions of no practical significance. But one issue is of considerable importance when considering how Early Humans may have imitated animals and birds as part of their communication system. Some psychologists believe that ‘true’ imitation requires not only imitating the body movements of another person or animal, but also understanding the intention behind those movements. This requires that the imitator ‘gets into the mind’ of the person/animal that is being copied. Whatever Merlin Donald believes, my view of Early Human mimesis is that it did not involve ‘thinking animal’ in the sense of imagining or believing that they were becoming the animals they were imitating. In this respect, it might have been quite different from the imitation of animals undertaken by modern hunter-gatherers. A great deal of the animal mimesis undertaken by the !Kung, the Australian aborigines, or, indeed, any modern hunter-gatherers, relates to a mythological world in which people and animals can transform into each other. The mimesis often takes place as part of religious ceremonies in which the animals represented are ancestral beings rather than merely entities of the natural world. Those undertaking the performance may take on the powers of the animals involved, with those animals often being ascribed human-like thoughts and intentions – just as we do when we talk about the ‘sly fox’, ‘brave lion’ and ‘wise owl’. When shamans enter their trances they believe that they are transformed into entities with animal-like qualities, especially the ability to fly. We can refer to this as ‘mental’ mimesis, and it must surely help with the capture of the precise movements of the animal in what we can term ‘physical’ mimesis. I suspect that Early Humans were largely constrained to the latter; they did not ‘think animal’ in the same manner as modern hunter-gatherers or, indeed, any member of Homo sapiens. My reason for this lies in the structure of their minds. As I remarked in the introduction to this book, I have previously argued that Early Humans had a domain-specific mentality, one in which their thoughts relating to ‘people’, ‘animals’ and ‘artefacts’ were quite isolated from each other – ‘social’, ‘natural history’ and ‘technical’ intelligences. This domain-specific mentality explains their lack of art, religion and cultural innovation, and I will return to how it both enabled and constrained behaviour when discussing the Neanderthals in chapter 15. When modern humans engage in ‘mental’ mimesis they are evidently integrating their social and natural history intelligences – imagining, indeed creating, an entity that is part human and part animal. This type of ‘cognitively fluid’ thought finds its first material manifestation in some of the earliest images of ice-age art, such as the lion-man carving from Hohlenstein Stadel and the ‘bison-man’ painting from Chauvet, both dating to around 30, 000 years ago. Mimesis by Early Humans was, I believe, more prosaic in nature: it was concerned with physical imitation alone, as a means to communicate information about the natural world. There was no transformation into human-animal entities or thoughts of ‘what it is like to be’ a lion, horse, eagle or bear. This may have inhibited the elegance of their displays; it would, for instance, be difficult for us today to mime a bird without imagining what it would be like to fly. On the other hand, we are quite able to imitate trees blowing in the wind or racing cars without attributing to those entities thoughts and feelings. In summary, we might characterize Early Humans as having a capacity for simile – they could be ‘like’ an animal – but not for metaphor – they could not ‘become’ an animal.
31 柏林（1992 年，第 249 页）。
31 Berlin (1992, p. 249).
32 在下文中，我引用了柏林（1992 年，第 6 章）和柏林（2005 年）。
32 In the following I draw on Berlin (1992, chapter 6) and Berlin (2005).
33 Jespersen 在 Berlin （2005） 中被引用。
33 Jespersen cited in Berlin (2005).
34 我应该指出，Berlin （2005） 进行了一项非常严格的统计研究以得出这一结论。
34 I should note that Berlin (2005) undertook a very rigorous statistical study to reach this conclusion.
35 在下面的文章中，我引用了 Wray （2002b）。
35 In the following text I draw on Wray (2002b).
36 壁炉的一个可能例子来自诺福克的山毛榉坑，其历史可以追溯到大约 50 万年前，但它包括 不超过一片严重烧焦的土壤，那里的火势似乎太猛烈，而且局部性太强，无法自然发生 原因。缺乏的是石头结构的证据，表明壁炉曾被用来构建社会结构 活动，就像现代人类一样。Bellamo （1993） 讨论了火的用途及其识别问题 考古记录。
36 One possible example of a fireplace comes from Beeches Pit in Norfolk, dating to around 0.5 million years ago, but this consists of no more than an area of heavily burnt soil where the fire appears to have been too intense and localized to have had natural causes. What is lacking is evidence for stone constructions to indicate that the fireplaces had been used to structure social activity, as occurs with modern humans. Bellamo (1993) discusses the uses of fire and the problems of its identification in the archaeological record.
37 Gamble（1999 年，第 153-72 页）详细描述了 Bilzingsleben 的发掘和 Dietrich 的解释 Mania（挖掘机）。他还提供了他自己的解释，我在我的文章中借鉴了这些解释。
37 Gamble (1999, pp. 153–72) provides a detailed description of the Bilzingsleben excavations and the interpretations of Dietrich Mania (the excavator). He also provides his own interpretation, which I draw on in my text.
38 甘布尔（1999 年，第 171 页）。
38 Gamble (1999, p. 171).
12. 为性而歌唱
12. Singing for sex
1 达尔文（1871 年，第 880 页）。米勒（2000 年，第 329 页）在他关于进化的论战文章中也引用了这句话 通过性选择来音乐。以下关于性选择的文字借鉴了 Miller （1997， 2000）。
1 Darwin (1871, p. 880). This quote was also cited by Miller (2000, p. 329) in his polemical article regarding the evolution of music through sexual selection. The following text about sexual selection draws on Miller (1997, 2000).
2 Zahavi （1975）， Zahavi 和 Zahavi （1997）。
2 Zahavi (1975), Zahavi and Zahavi (1997).
3 这个例子是由 Miller （2000） 给出的。
3 This example is given by Miller (2000).
4 达尔文（1871 年，第 705 页）。
4 Darwin (1871, p. 705).
5 达尔文（1871 年，第 878 页）。
5 Darwin (1871, p. 878).
6 达尔文（1871 年，第 880 页）。
6 Darwin (1871, p. 880).
7 米勒认为，制作音乐对我们的原始人祖先来说是一个障碍，因为它的噪音会吸引 捕食者和竞争者，而且因为所有的音乐都需要时间和精力来学习和表演——早期的原始人 否则可以花在具有某种功利功能的任务上。
7 Miller suggests that making music would have been a handicap for our hominid ancestors because its noise would have attracted predators and competitors, and because all music requires time and energy to learn and perform – time that early hominids could have otherwise spent on tasks with some utilitarian function.
8 米勒（2000 年，第 349 页）。
8 Miller (2000, p. 349).
9 米勒（2000 年，第 340 页）。
9 Miller (2000, p. 340).
10 米勒（2000 年，第 343 页）。
10 Miller (2000, p. 343).
11 米勒（2000 年，第 337 页）。
11 Miller (2000, p. 337).
12 对于现代人来说，如此多的音乐创作都是一项群体活动，这一事实对米勒的理论来说不一定是问题，因为 由 Anna Machin （pers. comm.） 向我指出。她指出，Wodaabe 的交配舞发生在一个群体中，绝对是一种择偶活动。群组活动允许对个人进行比较，同时仍然允许个人 以显示。
12 The fact that for modern humans so much of music-making is a group activity need not be a problem for Miller’s theory, as pointed out to me by Anna Machin (pers. comm.). She notes that the mating dance of the Wodaabe occurs in a group and is definitely a mate choice activity. Group activity allows the comparison of individuals while still allowing individuals to display.
13 以下关于灵长类动物社会和交配行为的文章借鉴了 McGrow 等人（1996 年）的章节。
13 The following text about primate social and mating behaviour draws on chapters in McGrew et al. (1996).
14 当考虑到所有社会的交配系统时，人类作为一个整体可能被最准确地描述为 一个弱一夫多妻的物种。当然，人类的交配模式受到社会、经济和文化背景的高度影响。 因此，我们发现了非常大程度的可变性，这一直是社会人类学的一个热切关注点。在灵长类动物中， 一夫多妻制可以采取多男性、多女性群体的形式，也可以采取多女性和单一男性的群体的形式， 然后，他容易受到其他雄性的攻击，这些雄性形成了全雄性群体。
14 When mating systems from all societies are taken into account, humans as a whole are probably most accurately described as a weakly polygynous species. Human mating patterns are, of course, highly influenced by social, economic and cultural contexts, and hence we find a very substantial degree of variability, which has been a keen concern of social anthropology. Among primates, polygyny can take the form either of multi-male, multi-female groups, or of groups with multiple females and a single male, who then becomes liable to attacks from the other males, who form all-male groups.
15 由于他们的支持者可能是亲戚（作为兄弟或儿子），这样的奖励只是有助于维持他们自己的包容性健康。
15 As their supporters may be related (as brothers or sons) such rewards simply help to maintain their own inclusive fitness.
16 Plavcan 和 van Schaik （1992） 探讨了雄性竞争强度与犬类性二态性之间的相关性。
16 Plavcan and van Schaik (1992) explored the correlation between the intensity of male competition and canine sexual dimorphism.
17 McHenry （1996） 提供了 Hylobates syndactylus 的 1.0 和 Hylobates Lar 的 1.1 和 Homo sapiens 的 1.2 数字。
17 McHenry (1996) provides figures of 1.0 for Hylobates syndactylus and 1.1 for Hylobates Lar, and 1.2 for Homo sapiens.
18 以下文本借鉴了 McHenry （1996）。
18 The following text draws on McHenry (1996).
19 然而，我们必须谨慎，因为性二态性也会受到捕食者压力和饮食等因素的影响。 因此它在 Homo ergaster 中的减少可能与交配行为完全无关。Rowell 和 Chism （1986， p. 11） 认为不可能推断出社会制度 或者根据化石显示的性二态性程度来判断已灭绝物种的交配模式。
19 We must, however, be cautious, as sexual dimorphism can also be influenced by factors such as predator pressure and diet, and hence its reduction in Homo ergaster may be quite unrelated to mating behaviour. Rowell and Chism (1986, p. 11) do not think it possible to infer the social systems or mating patterns of extinct species from the degree of sexual dimorphism shown by their fossils.
20 以下文本借鉴了 Key 和 Aiello （1999）。他们引用了平均热量增加 66-188% 的数字 摄入哺乳期女性，并注意许多女性在哺乳期间体重减轻。
20 The following text draws on Key and Aiello (1999). They cite a figure of a 66–188 per cent increase in the mean calorific intake of lactating females, and note that many females lose weight during lactation.
21 Key 和 Aiello （1999） 解释说，直到 18 个月大，人类婴儿的能量需求为 9% 比黑猩猩的更大。
21 Key and Aiello (1999) explain that up to the age of eighteen months, the energy requirements of human infants are 9 per cent greater than those of chimpanzees.
22 麦克亨利 （1996）。
22 McHenry (1996).
23 Key 和 Aiello （1999） 提供了许多女性在各种物种之间合作的例子。
23 Key and Aiello (1999) provide numerous examples of such female cooperation among a wide variety of species.
24 Key 和 Aiello （1999） 以棕色鬣狗为例说明了这一点，它与 在许多灵长类动物中发现，但由于肉类的重要性，它也参与食物共享和供应 饮食。肉类很难获得，供应也不可靠，这与非食物共享的植物性食物供应完全不同 猿。
24 Key and Aiello (1999) illustrate this by the example of the brown hyena, which has a similar level of female cooperation as found among many primates but which also engages in food sharing and provisioning because of the importance of meat within the diet. Meat is difficult to acquire and the supply unreliable, quite unlike the supply of plant foods for the non-food-sharing apes.
25 关于祖母假说，见 Hawkes et al. （1997）;关于它在 Homo ergaster 和人类生活史进化中的应用，参见 O'Connell et al. （1999）。
25 For the grandmothering hypothesis, see Hawkes et al. (1997); and for its application to Homo ergaster and the evolution of the human life history, see O’Connell et al. (1999).
26 Key 和 Aiello （1999） 认为，当男性专注于小型猎物时，狩猎可以成为供应女性和 他们的婴儿。
26 Key and Aiello (1999) argue that when men focus on small game, hunting can be an effective means of provisioning females and their infants.
27 Key （1998） 和 Key 和 Aiello （2000） 使用囚徒困境模型来探索男性开始的条件 在供应和保护方面与女性合作。
27 Key (1998) and Key and Aiello (2000) used the prisoner’s dilemma model to explore the conditions in which males would begin to cooperate with females in terms of provisioning and protection.
28 考古学家经常在没有任何正式评估的情况下声称这一点。然而，最近，我的毕业生之一 Anna Machin 雷丁大学（University of Reading）的学生进行了对照实验，以证明对称性没有影响 关于屠宰效率。
28 This has often been claimed by archaeologists without any formal evaluation. Recently, however, Anna Machin, one of my graduate students at the University of Reading, has undertaken controlled experiments to demonstrate that symmetry has no influence on butchery efficiency.
29 Wynn （1995） 在一篇题为“Handaxe enigmas”的文章中讨论了其中的许多问题。
29 Wynn (1995) discussed many of these issues in an article appropriately entitled ‘Handaxe enigmas’.
30 关于原材料特性对手斧形状、大小和对称性的重要性的争论，参见 Ashton 和 NcNabb （1994） 和 White （1998）。
30 For arguments about the significance of raw material characteristics for hand axe shape, size and symmetry, see Ashton and NcNabb (1994) and White (1998).
31 以下内容借鉴了 Kohn 和 Mithen （1999）。
31 The following draws on Kohn and Mithen (1999).
32 关于燕子尾巴，参见 Møller （1990）;关于孔雀尾巴，参见 Manning 和 Hartley （1991）。
32 For swallow tails, see Møller (1990); for peacock tails, see Manning and Hartley (1991).
33 关于身体和面部对称在人类性关系中的重要性，见 Thornhill 和 Gangstead （1996）。
33 For the significance of bodily and facial symmetry in human sexual relationships, see Thornhill and Gangstead (1996).
34 罗伊案（1994 年，第 207 页）。
34 Roe (1994, p. 207).
13. 为人父母的要求
13. The demands of parenthood
1 Boxgrove 由 Roberts 和 Parfitt （1999） 描述。他们的报告提供了该地点的地质背景，即哺乳动物 动物群、年代和考古学摘要。
1 Boxgrove is described by Roberts and Parfitt (1999). Their report provides the geological background to the site, mammalian fauna, dating and a summary of the archaeology.
2 有关 Boxgrove 的剥落技术和改装，请参见 Bergman 和 Roberts （1988） 和 Wenban-Smith （1999）。
2 For the flaking technology at Boxgrove and refits, see Bergman and Roberts (1988) and Wenban-Smith (1999).
3 有关屠宰的模式，参见 Parfitt 和 Roberts （1999）。
3 For patterns of butchery, see Parfitt and Roberts (1999).
4 关于原始人胫骨，参见 Roberts et al. （1994）。
4 For the hominid tibia, see Roberts et al. (1994).
5 关于 Gamble 对 Boxgrove 和中更新世原始人行为的一般看法，参见 Gamble （1987， 1999）。
5 For Gamble’s view of Boxgrove and Middle Pleistocene hominid behaviour in general, see Gamble (1987, 1999).
6 Thieme （1997） 描述了 Schöningen 长矛。
6 The Schöningen spears are described by Thieme (1997).
7 以下文本借鉴了 Dissanayake （2000）。Cordes （2003） 提供了据称支持该推导的证据 来自 IDS 类型通信的音乐。她发现 IDS 的旋律轮廓与人类创作的歌曲的旋律轮廓密切相关 在传统社会中。她还声称，这与灵长类动物叫声的旋律轮廓有很大的相似之处， 尽管从她提供的数据来看，这更具争议性。
7 The following text draws on Dissanayake (2000). Cordes (2003) provides evidence that is claimed to support the derivation of music from IDS-type communication. She found that the melodic contours of IDS correspond closely to the melodic contours of songs made by humans in traditional societies. She also claims that there is a significant similarity to the melodic contours of primate calls, although from the data she provides this is far more contentious.
8 Dissanayake （2000 年，第 390 页）。
8 Dissanayake (2000, p. 390).
9 以下文字引用了福尔克（出版中）。
9 The following text draws on Falk (in press).
10 Wheeler （1984， 1992） 认为，体毛的流失是体温调节的生理适应，在 与两足行走同时。
10 Wheeler (1984, 1992) argued that the loss of body hair was a physiological adaptation for thermoregulation, evolving at the same time as bipedalism.
11 Pagel 和 Bodmer （2003）。
11 Pagel and Bodmer (2003).
12 Bellamo （1993） 不仅描述了 FxJj50 的证据，还对方法论问题进行了彻底的回顾 参与识别考古记录中的火灾痕迹。
12 Bellamo (1993) not only describes the evidence from FxJj50 but also provides a thorough review of the methodological issues involved in identifying traces of fire in the archaeological record.
13 Kittler 等人（2003 年）。
13 Kittler et al. (2003).
14 福尔克（出版中）。
14 Falk (in press).
15 达尔文（1872 年）将厌恶视为六种普遍情绪之一。Rozin et al. （1993） 回顾了厌恶的研究，描述了 跨文化中发现的特征性面部表情、神经系统体征和动作。
15 Darwin (1872) counted disgust as one of the six universal emotions. Rozin et al. (1993) review studies of disgust, describing the characteristic facial expressions, neurological signs and actions that are found cross-culturally.
16 Curtis 和 Biran （2001） 对厌恶理论进行了很好的概述，有力地论证了厌恶是一种进化的理论 避免疾病感染的反应。我非常感谢 Val 在我演讲后立即对我说“Yuk！” 2004 年 12 月 16 日在伦敦儿童健康研究所举行的一次会议上发表的一篇关于语言起源的论文。
16 Curtis and Biran (2001) provide an excellent overview of theories about disgust, making a strong argument that it is an evolved response to avoid infection by disease. I am most grateful to Val for saying ‘Yuk!’ to me immediately after I had presented a paper on the origin of language at a conference at the Institute of Child Health, London, on 16 December 2004.
14. 一起制作音乐
14. Making music together
1 以下文本引用了 Merker （1999， 2000）。
1 The following text draws on Merker (1999, 2000).
2 引自 Merker （2000， p. 319）。
2 Cited in Merker (2000, p. 319).
3 默克 （2000 年，第 320 页）。
3 Merker (2000, p. 320).
4 麦克尼尔 （1995）。
4 McNeill (1995).
5 麦克尼尔 （1995 年，第 2 页）。他创造了“肌肉结合”一词，指的是“持久而有节奏的肌肉 几乎所有参与者都会引起运动。
5 McNeill (1995, p. 2). He coins the term ‘muscular bonding’ for the ‘euphoric feeling that prolonged and rhythmic muscular movement arouses among nearly all participants’.
6 邓巴 （2004）。我感谢与 Robin Dunbar 就此问题进行的对话，以及他在 2004 年“音乐， 语言与人类进化“研讨会上发表的演讲，他在研讨会上强调了内啡肽的重要性。
6 Dunbar (2004). I am grateful for conversations with Robin Dunbar on this issue and for his presentation at the 2004 ‘Music, Language and Human Evolution’ workshop at the University of Reading, where he stressed the importance of endorphins.
7 约翰·布莱金 （John Blacking） 发表了大量关于文达语的研究 – 参见 Byron （1995） 的完整参考书目 – 其中最重要的可能是他对文达儿童歌曲的研究 （1967）。 我借鉴了他在 Blacking （1973， p. 101） 中对 Venda 公共音乐创作的评论。
7 John Blacking published a great many studies concerning the Venda – see Byron (1995) for a complete bibliography – the most important of which may have been his study of Venda children’s songs (1967). I have drawn on his comments about Venda communal music-making in Blacking (1973, p. 101).
8 以下关于囚徒困境模型的文章借鉴了 Axelrod 和 Hamilton （1981） 以及 Axelrod （1984）。
8 The following text about the prisoner’s dilemma model draws on Axelrod and Hamilton (1981) and Axelrod (1984).
9 囚徒困境模型也是一种强大的研究工具。人类学家 Leslie Aiello 和 Cathy Key 非常出色 使用它来研究早期原始人社会合作的演变（Key 和 Aiello 2000）。
9 The prisoner’s dilemma model is also a powerful research tool. The anthropologists Leslie Aiello and Cathy Key made excellent use of it to examine the evolution of social cooperation in early hominid society (Key and Aiello 2000).
10 Caporael 等人（1989 年，第 696 页）。
10 Caporael et al. (1989, p. 696).
11 Caporael 等人（1989 年）。
11 Caporael et al. (1989).
12 Benzon （2001 年，第 23 页）。
12 Benzon (2001, p. 23).
13 弗里曼 （2000）。
13 Freeman (2000).
14 引自 Benzon （2001， p. 81）。
14 Cited in Benzon (2001, p. 81).
15 阻断催产素对雌性草原大鼠的影响在 Damasio（2003 年，第 95 页）中提到。
15 The impact of blocking oxytocin on female prairie rats is referred to in Damasio(2003, p. 95).
16 布莱金（1973 年，第 44 页）。
16 Blacking (1973, p. 44).
17 以下关于 Atapuerca 的文字借鉴了 Arsuaga 等人 （1997） 对该遗址的一般描述。年代 标本仍不清楚;有些可能小于 350， 000 年，但至少样本似乎被沉积物密封 与此日期。
17 The following text concerning Atapuerca draws on Arsuaga et al. (1997) for a general description of the site. The dating of the specimens remains unclear; some may be younger than 350, 000 years old, but a sample at least appear to be sealed by sediments with this date.
18 Bocquet-Appel 和 Arsuaga （1999） 提出了 Sima de los Huesos 中灾难性尸体堆积的论点。
18 The arguments for a catastrophic accumulation of bodies in the Sima de los Huesos is made by Bocquet-Appel and Arsuaga (1999).
19 参见 Arsuaga （2001， pp. 221-32） 对 Atapuerca 尸体堆积的各种解释的讨论。
19 See Arsuaga (2001, pp. 221–32) for discussion of the various explanations for the accumulation of bodies at Atapuerca.
15. 恋爱中的尼安德特人
15. Neanderthals in love
1 最后的尼安德特人生活在西班牙南部和直布罗陀，然后在大约 28， 000 年前灭绝。Barton et al. （1999） 描述了最近在直布罗陀的发掘，这些发掘恢复了有关尼安德特人生活方式的重要新信息， 特别是他们对沿海食物的使用。最近关于尼安德特人灭绝的进一步研究，重点是伊比利亚南部 在 Stringer 等人（2000 年）编辑的卷中，恰当地称为边缘的尼安德特人。
1 The final Neanderthals lived in southern Spain and Gibraltar before becoming extinct at around 28, 000 years ago. Barton et al. (1999) describe recent excavations on Gibraltar that have recovered important new information on Neanderthal lifestyles, notably their use of coastal foods. Further recent work about Neanderthal extinction with a focus on southern Iberia is found in the volume edited by Stringer et al. (2000), suitably called Neanderthals on the Edge.
2 虽然共同祖先的具体身份尚不清楚，但对一般进化关系有广泛的共识 在 Homo sapiens 和 Homo neanderthalensis 之间。自从 1856 年发现第一个尼安德特人标本以来，这种关系不仅在 在科学期刊的页面上，而且在文学和艺术中，因为尼安德特人成为小说和绘画的主题。 这远不止是学术上的分歧，因为尼安德特人被当作我们自己作为一个物种的身份所反对的“他者” 定义。那些希望将尼安德特人排除在人类家庭之外的人类学家将他们描绘成粗鲁的猿人 懒散的肩膀和蹒跚的步态;相反，那些认为尼安德特人与智人密切相关的人产生了对尼安德特人的“高贵野蛮”描述——克莱夫·甘布尔 （Clive Gamble） 描述为看起来只是一个发型的距离 文明。这种对立的观点在 20 世纪初就出现了，并以这样或那样的形式继续存在 直到不到十年前;有关尼安德特人的历史，请参见 Stringer and Gamble （1993） 和 Trinkaus 和 Shipman （1995） 研究。近年来，争论的焦点集中在智人的起源上：非洲存在单一起源还是旧世界不同地区的多个起源？如果是后者，那么尼安德特人就是欧洲智人的直接祖先。关于尼安德特人的争论持续了这么长时间，因为化石记录是零碎的，难以解释。 1997 年，一个新的数据来源出现了，并为会议中乏味的辩论点提供了解决方案 在期刊上，当 Krings 等人（1997 年）宣布首次从尼安德特人骨骼中提取 DNA 时。相当值得注意的是， 这具骨架是最初发现的，于 1856 年在德国尼安德山谷的一个洞穴中发现。这个古老的 带有现代人类 DNA 的 DNA 样本表明，尼安德特人和智人在大约 500， 000 年前有一个共同的祖先。这意味着尼安德特人不可能是智人的直接祖先。DNA 还表明尼安德特人对现代基因库没有做出任何贡献，因此 没有杂交。绝大多数人类学家现在都同意，智人是在非洲进化而来的，而尼安德特人是在欧洲进化而来的，两者最终都源自 Homo ergaster，并且可能共享 Homo heidelbergensis 作为他们最近的共同祖先。有关尼安德特人 DNA 重要性的评论，请参见 Kahn 和 Gibbons （1997） 以及 Ward 和 Stringer （1997）。
2 Although the specific identity of the common ancestor is unclear, there is wide consensus on the general evolutionary relationship between Homo sapiens and Homo neanderthalensis. Ever since the first Neanderthal specimens were discovered in 1856, this relationship has been debated not only within the pages of scientific journals but also in literature and art, as the Neanderthals became the subject of novels and paintings. This was far more than a mere academic disagreement, because the Neanderthals were employed as the ‘other’ against which our own identity as a species was defined. Those anthropologists who wished to exclude the Neanderthals from the human family depicted them as uncouth ape-men with slouching shoulders and a shambling gait; conversely, those who believed that Homo neanderthalensis was closely related to Homo sapiens generated ‘noble savage’ depictions of the Neanderthals – described by Clive Gamble as looking merely a haircut away from civilization. Such opposing views were present at the start of the twentieth century and continued in one form or another until less than a decade ago; see Stringer and Gamble (1993) and Trinkaus and Shipman (1995) for the history of Neanderthal studies. In recent years, debate became focused on the origins of Homo sapiens: was there a single origin in Africa or multiple origins in different regions of the Old World? If the latter, then Homo neanderthalensis would have been the direct ancestor of Homo sapiens in Europe. The Neanderthal debate was sustained for so long because the fossil record is fragmentary and difficult to interpret. In 1997, a new source of data became available and provided a resolution to what had become a tedious debating point at conferences and in journals, when Krings et al. (1997) announced the first extraction of DNA from a Neanderthal skeleton. Quite remarkably, this skeleton was the original find, coming from a cave in the Neander Valley, in Germany, in 1856. A comparison of this ancient DNA sample with DNA from modern humans indicated that Homo neanderthalensis and Homo sapiens shared a common ancestor at around 500, 000 years ago. This means that Homo neanderthalensis could not have been a direct ancestor of Homo sapiens. The DNA also indicated that the Neanderthals had made no contribution to the modern gene pool, and hence that there had been no interbreeding. The vast majority of anthropologists now agree that Homo sapiens evolved in Africa and Homo neanderthalensis in Europe, both deriving ultimately from Homo ergaster and possibly sharing Homo heidelbergensis as their most recent common ancestor. For commentary on the significance of the Neanderthal DNA, see Kahn and Gibbons (1997) and Ward and Stringer (1997).
3 来自 Atapuerca 的化石标本由 Bermúdez de Castro 等人（1997 年）描述。它们用于识别新物种 的 Homo 是有争议的，因为声称的类型标本是青少年，其中成人的面部特征可能没有完全 发达。Gibbons （1997） 对这些发现的评论提供了对古人类学家之间存在的差异的见解 关于化石记录的解释。说这些是已知最早的欧洲人遗骸，我的意思是它们是最早的明确识别或确定日期的标本。
3 The fossil specimens from Atapuerca are described by Bermúdez de Castro et al. (1997). Their use for identifying a new species of Homo is controversial as the claimed type-specimen is a juvenile in which the adult facial characteristics may not have fully developed. Gibbons’s (1997) commentary on the finds provides an insight into the differences that exist among palaeoanthropologists regarding the interpretation of the fossil record. By saying that these are the earliest known Homo remains from Europe, I mean they are the earliest unambiguously identified or dated specimens.
4 Foley 和 Lahr （1997） 认为，古人类学家应该对考古学的关注与对化石的关注一样多 记录。他们强调了碎石之间的相似之处 50， 000 年前尼安德特人和近东现代人使用的技术。这是基于 Levallois 的 并且曾经被归类为“模式 3”技术——这个术语现在很少被考古学家自己使用，但 Foley 和 Lahr 认为它很重要。他们认为，技术相似性意味着 Homo sapiens 和 Homo neanderthalensis 的最近共同祖先，他们将其命名为 Homo helmei。该术语最初于 1930 年代引入，指的是来自南非弗洛里斯巴德的标本。麦克布雷蒂和布鲁克斯 （2000） 也提到 Homo helmei 是 Homo sapiens 的直接祖先，而不是 Homo neanderthalensis 的直接祖先。
4 Foley and Lahr (1997) argue that palaeoanthropologists should pay as much attention to the archaeological as to the fossil record when reconstructing the evolutionary history of the Neanderthals. They stress the similarities between the chipped-stone technology used by Neanderthals and by modern humans in the Near East prior to 50, 000 years ago. This is Levallois-based and was once classified as a ‘mode 3’ technology – this term now being very rarely used by archaeologists themselves but thought to be significant by Foley and Lahr. They argue that the technological similarity implies a recent common ancestor for Homo sapiens and Homo neanderthalensis, which they designate as Homo helmei. This term was originally introduced in the 1930s to refer to a specimen from Florisbad, South Africa. McBrearty and Brooks (2000) also refer to Homo helmei as an immediate ancestor of Homo sapiens, but not of Homo neanderthalensis.
5 除非另有说明，否则本节借鉴了 Stringer 和 Gamble （1993） 中对尼安德特人和其他化石的描述 以及 Johanson 和 Edgar （1996）。
5 Unless otherwise stated, this section draws on the descriptions of Neanderthal and other fossils in Stringer and Gamble (1993) and Johanson and Edgar (1996).
6 关于体型和大脑大小之间的关系，参见 Kappelman （1996）。他论点的一个关键特征是 在 100， 000 年前后现代人的相对大脑大小中，是由于选择较小的体重而不是 一个更大的大脑。
6 For the relationship between body size and brain size see Kappelman (1996). A key feature of his argument is that the increase in relative brain size of modern humans after 100, 000 years ago arose from selection for a smaller body mass rather than a larger brain.
7 Churchill （1998） 对尼安德特人的解剖结构及其对寒冷气候的生理适应进行了回顾。
7 Churchill (1998) provides a review of Neanderthal anatomy and its physiological adaptations for cold climates.
8 参见 Mellars （1996） 对西欧尼安德特人考古学的最广泛的审查和解释。
8 See Mellars (1996) for the most extensive review and interpretation of Neanderthal archaeology from Western Europe.
9 参见 Mellars （1996） 对相关考古学的评论和解释。所有主要的考古权威都有 同意这种尼安德特人社会生活的观点。刘易斯·宾福德（Lewis Binford，1989 年，第 33 页）将他们的群体描述为“均匀的小规模”; 保罗·梅拉斯 （1989 年，第 358 页） 得出结论，尼安德特人的“社区......通常很小......并且基本上缺乏任何明确的 社会结构或个人社会或经济角色的定义“;和 Randall White （1993， p.352） 指出尼安德特人 生活在“内部无分化或弱分化”的社会中。组大小等量的唯一参数和 现代人类的社会复杂性来自 Dunbar （1993， 1996， 2004），基于尼安德特人的大脑大小，即 与现代人相似。然而，这个论点依赖于一个非常不恰当的关系推断 介于群体大小和大脑大小之间，这存在于相对大脑较小的现代灵长类动物中。
9 See Mellars (1996) for a review and interpretation of the relevant archaeology. All leading archaeological authorities have agreed with this view of Neanderthal social life. Lewis Binford (1989, p. 33) described their groups as ‘uniformly small’; Paul Mellars (1989, p. 358) concluded that Neanderthal ‘communities … were generally small … and largely lacking in any clear social structure or definition of individual social or economic roles’; and Randall White (1993, p.352) stated that Neanderthals lived in ‘internally un- or weakly differentiated’ societies. The only argument for an equivalent degree of group size and social complexity to modern humans has come from Dunbar (1993, 1996, 2004) and is based on Neanderthal brain size, which is similar to that of modern humans. This argument relies, however, on a quite inappropriate extrapolation from a relationship between group size and brain size that exists for relatively small-brained modern-day primates.
10 有关 Levallois 技术的重要研究，请参见 Dibble 和 Bar-Yosef （1995）;Van Peer （1992） 提供了一项非常详细的研究 Levallois 减少策略。这两卷都表明了 尼安德特人，显然是定期工作的。
10 For a momentous study of Levallois technology, see Dibble and Bar-Yosef (1995); Van Peer (1992) provides a very detailed study of the Levallois reduction strategy. Both volumes indicate the high degree of technical skill that had been mastered by the Neanderthals and apparently employed on a routine basis.
11 Bar-Yosef 等人（1992 年）描述了 Kebara I 墓葬。考古学家之间就 存在尼安德特人墓葬;例如，参见 Gargett （1989 和评论）。随着 Kebara 标本的发现 并重新评估来自 La Ferrassie 等遗址的那些，现在很少有考古学家否认尼安德特人埋葬了一些 他们的死者。但对于为什么这样做，仍然存在分歧。
11 The Kebara I burial is described by Bar-Yosef et al. (1992). There has been a vigorous debate among archaeologists over the existence of Neanderthal burial; see, for example, Gargett (1989, and commentary). With the discovery of the Kebara specimen and re-evaluation of those from sites such as La Ferrassie, very few archaeologists now deny that Neanderthals buried some of their dead. But there remains disagreement as to why this was undertaken.
12 Kebara I 舌骨由 Arensburg 等人 （1989） 描述。参见 Arensburg et al. （1990） 和 Lieberman （1992） 关于其重要性的讨论。
12 The Kebara I hyoid bone is described by Arensburg et al. (1989). See Arensburg et al. (1990) and Lieberman (1992) for discussions of its significance.
13 Lieberman 和 Crelin （1971）。他们有影响力的重建是基于这样一种观点，即颅骨的颅底可以表明 喉部位置。他们发现 Chappelle-aux-Saints 标本的颅底更接近成人的颅底 黑猩猩或人类新生儿比成年现代人，并得出结论，喉部处于类似的升高位置。 Burr （1976） 对他们的工作进行了最早的批评之一，现在在关于人类进化的著作中被广泛重复。
13 Lieberman and Crelin (1971). Their influential reconstruction was based on the idea that the cranial base of a skull can indicate the laryngeal position. They found that the cranial base of the Chappelle-aux-Saints specimen was closer to that of an adult chimpanzee or a human neonate than of an adult modern human, and concluded that the larynx was in a similarly heightened position. Burr (1976) made one of the earliest critiques of their work, which is now widely repeated in works on human evolution.
14 Kay 等人（1998 年）。检查的标本是来自南非 Sterkfontein 的 3 个标本（Sts 19、Stw 187 和 Stw S3）;卡布韦 和 Swanscombe 化石，它们在物种方面定义不明确，但被合理地描述为 Homo heidelbergensis;两个尼安德特人标本，La Ferrassie 1 和 La Chapelle-aux-Saints;以及一个早期的智人，Skhul 5。由于 Kabwe 和 Swanscombe 标本也属于现代人类的范围，因此舌头的运动控制 很可能在 400， 000 年前达到了它的现代特征。参见 DaGusta et al. （1999） 对他们结论的批评。
14 Kay et al. (1998). The specimens examined were three from Sterkfontein, South Africa (Sts 19, Stw 187 and Stw S3); the Kabwe and Swanscombe fossils, which are ill defined as to species but reasonably described as Homo heidelbergensis; two Neanderthal specimens, La Ferrassie 1 and La Chapelle-aux-Saints; and one early Homo sapiens, Skhul 5. As the Kabwe and Swanscombe specimens also fell within the modern human range, motor control of the tongue had most likely attained its modern character by 400, 000 years ago. See DaGusta et al. (1999) for a critique of their conclusions.
15 MacLarnon 和 Hewitt （1999）。
15 MacLarnon and Hewitt (1999).
16 Martinez 等人（2004 年）。
16 Martinez et al. (2004).
17 Gamble （1999） 对欧洲中更新世和晚更新世期间的气候变化及其 对人类行为的影响。特别重要的近期工作是 D'Errico 和 Sanchez Goni （2003） 关于 气候变化对尼安德特人灭绝的意义。Felis 等人（2004 年）最近的研究表明， 尼安德特人可能在最后（OIS 第 5 阶段）间冰期的较大季节性变化时期幸存下来 比全新世的现代人类的情况还要多。
17 Gamble (1999) provides an excellent summary of the climatic changes during the Middle and Late Pleistocene of Europe and their implications for human behaviour. Particularly important recent work has been that by D’Errico and Sanchez Goni (2003) regarding the significance of climatic variability for Neanderthal extinction. Recent research by Felis et al. (2004) indicates that the Neanderthals may have survived through periods of greater seasonal variation during the last (OIS stage 5) interglacial than is the case for modern humans during the Holocene.
18 参见 Marshack （1997） 对 Berekhat “小雕像”的描述和令人印象深刻的彩色照片，然后参见 D'Errico Nowell （2000） 对这件文物进行了微观分析，随后是多位评论员的讨论。
18 See Marshack (1997) for a description of the Berekhat ‘figurine’ and impressive colour photographs, and then see D’Errico and Nowell (2000) for a microscopic analysis of this artefact, followed by discussion from various commentators.
19 关于 Bilzingsleben 骨骼，参见 Mania 和 Mania （1988）。除了 Berekhat Ram 'figurine' 和 Bilzingsleben 骨头，如 Robert Bednarik （1995） 等作家引用了少量其他据称有标记或形状的物体来支持他们的 声称尼安德特人和以前的原始人能够进行象征性思考。但在每种情况下都有另一种解释 》的裁决，而 Bednarik 和其他人批判性评价的失败对除了他们自己以外的每个人都感到震惊。 Mithen （1996） 对 Bednarik 的论点进行了批评。
19 For the Bilzingsleben bones, see Mania and Mania (1988). In addition to the Berekhat Ram ‘figurine’ and the Bilzingsleben bone, writers such as Robert Bednarik (1995) cite a small number of other supposedly marked or shaped objects to support their claim that Neanderthals and previous hominids were capable of symbolic thought. But in every case an alternative explanation can be provided, and the failure of critical evaluation by Bednarik and others is striking to everyone except themselves. Mithen (1996) provides a critique of Bednarik’s arguments.
20 Bednarik （1994） 认为，在前现代人类的考古记录中，象征性人工制品的稀有性是为了 taphonomic 而出现的 原因。我认为这是一个非常薄弱的论点，在某些地方完全是误解的。
20 Bednarik (1994) argues that the rarity of symbolic artefacts in the archaeologicalrecord of pre-modern humans arises for taphonomic reasons. I find this a very weak and in some places entirely misconceived argument.
21 以下文本引用了 Francesco D'Errico 在 2004 年 5 月的个人通信以及对他的实验室的访问 参见来自尼安德特人遗址的几个色素标本。
21 The following text draws on a personal communication from Francesco D’Errico in May 2004 and a visit to his laboratory to see several pigment specimens from Neanderthal sites.
22 汉弗莱 （1984） 的章节奇怪地被考古学家撰写有关艺术起源的文章所忽略。他做了一个非常 关于红色作为一种颜色的歧义的有趣争论，它被用作愤怒/危险和性吸引/爱的标志。
22 Humphrey’s (1984) chapter has been curiously neglected by archaeologists writing about the origin of art. He makes a very interesting argument about the ambiguity of red as a colour, which is used as a sign of both anger/danger and sexual attraction/love.
23 参见 Kuhn （1995） 关于尼安德特人石器技术的更多方面，以及 Mellars （1996） 提供的一般评论。
23 See Kuhn (1995) for further aspects of Neanderthal lithic technology, and the general review provided in Mellars (1996).
24 有关 Chatelperronian 工业的描述及其解释的辩论，参见 D'Errico et al. （1998） 以及那篇文章后面的评论。
24 For a description of the Chatelperronian industry and the debates regarding its interpretation see D’Errico et al. (1998) and the commentary following that article.
25 米森 （1996/1998）。
25 Mithen (1996/1998).
26 Wynn 和 Coolidge （2004）。
26 Wynn and Coolidge (2004).
27 Zubrow （1989） 通过使用人口模型证明，繁殖率看似微小的差异可能 导致尼安德特人迅速被现代人取代。
27 Zubrow (1989) demonstrated by the use of demographic modelling that seemingly minor differences in reproduction rates might have led to the rapid replacement of the Neanderthals by modern humans.
28 Trinkaus （1995） 从尼安德特人的骨骼遗骸中推断出尼安德特人的死亡模式。方法论上存在许多问题 这样做，包括老年人的困难。考古学家面临的主要困难之一是尼安德特人 可能以不同的方式对待不同年龄段的人。“老年人”（即超过 35 岁）可能只是 没有被埋葬，导致他们的遗骸保存得非常罕见。
28 Trinkaus (1995) infers Neanderthal mortality patterns from their skeletal remains. There are many methodological problems in doing so, including the difficulty of ageing adults. One of the key difficulties faced by archaeologists is that the Neanderthals may have treated different age classes in different fashions. ‘Old’ people (that is, over thirty-five years) might simply not have been buried, leading to very rare preservation of their remains.
29 Trinkaus （1985） 描述了 La Chapelle-aux-Saints 标本的病理学，这些病理学在 Stringer 和 Gamble 中进行了总结 （1993 年），以及患病或受伤标本的更多例子。
29 Trinkaus (1985) describes the pathologies of the La Chapelle-aux-Saints specimen, which are summarized in Stringer and Gamble (1993), along with further examples of diseased or injured specimens.
30 Trinkaus （1983） 描述了来自 Shanidar 洞穴的尼安德特人。
30 Trinkaus (1983) describes the Neanderthals from Shanidar Cave.
31 Chase （1986） 分析和解释了 Combe Grenal 的动物骨骼，Mellars （1996） 进一步讨论了这些骨骼。
31 The animal bones from Combe Grenal have been analysed and interpreted by Chase (1986) and further discussed by Mellars (1996).
32 Farizy et al. （1994） 描述了 Mauran。Mellars （1996） 提供了对尼安德特人大规模杀戮地点的进一步描述。
32 Mauran is described by Farizy et al. (1994). Mellars (1996) provides further descriptions of Neanderthal mass kill sites.
33 Callow 和 Cornford （1986） 描述了 La Cotte 的发掘，而 Scott （1980） 将猛犸象遗骸解释为 大型猎物狩猎的后果。
33 Callow and Cornford (1986) describe the excavations at La Cotte, while Scott (1980) interprets the mammoth remains as the consequence of big-game hunting.
34 参见 Kohn 和 Mithen （1999） 的原始论点，即考古学家有时提到的薄片技术的发展 作为“模式 3”技术，反映了配接模式的变化。
34 See Kohn and Mithen (1999) for the original argument that development of flake technology, sometimes referred to by archaeologists as ‘mode 3’ technology, reflects a change in mating patterns.
35 Rak 等人（1994 年）描述了 Amud 洞穴中的婴儿埋葬，而 Hovers 描述了洞穴中的进一步埋葬 等人（1995 年）。
35 The infant burial in Amud Cave is described by Rak et al. (1994), while further burials in the cave are described by Hovers et al. (1995).
36 Ramirez Rozzi 和 Bermúdez de Castro （2004） 确定了尼安德特人的生长速度，并将其与 旧石器时代晚期和中石器时代现代人，以及 Homo antecessor 和 Homo heidelbergensis，通过比较牙齿上牙釉质形成的速度。生活史特征与牙齿生长密切相关。尼安德特人 牙齿生长时间最短，表明它们是所有 Homo 物种中发育最快的。他们利用这一点来强调尼安德特人和智人之间明显的进化分离。在他们的工作之前，还有其他指标表明尼安德特人的发育速度相对较快，总结如下 在 Churchill （1998） 中。Mithen （1996） 认为，快速增长可能对发展产生了重大影响 尼安德特人的认知。
36 Ramirez Rozzi and Bermúdez de Castro (2004) identified the rate of growth of Neanderthals and compared this with those of Upper Palaeolithic and Mesolithic modern humans, and Homo antecessor and Homo heidelbergensis, by comparing the speeds of enamel formation on teeth. Life-history traits correlate closely with dental growth. The Neanderthals had the shortest period of dental growth, indicating that they were the fastest developing of all species of Homo. They use this to stress the clear evolutionary separation between Homo neanderthalensis and Homo sapiens. Prior to their work there had been other indicators of a relatively rapid developmental rate for the Neanderthals, as summarized in Churchill (1998). Mithen (1996) suggested that the rapid rate of growth may have had significant implications for the development of Neanderthal cognition.
37 以下关于洞穴中“空白空间”的文字借鉴了 Mellars （1996）。
37 The following text regarding ‘empty spaces’ in caves draws on Mellars (1996).
38 在 Bruniquel 洞穴的发现是由 Francois Rouzard 发现的。关于这一发现及其影响的有用评论 由 Balter（1996） 提供。
38 The discovery in Bruniquel Cave was made by Francois Rouzard. A useful commentary about the discovery and its implications is provided by Balter(1996).
39 Clottes（个人通讯，2004 年 5 月）。
39 Clottes (pers. comm., May 2004).
40 Turk （1997） 描述了从 Divje Babe 那里发现的骨头“长笛”，而 Kunej 和 Turk （2000） 进行了音乐分析 并捍卫其长笛地位，反对 D'Errico 等人 （1998） 等人提出的批评。 无论是否发现了尼安德特人的长笛，Divje Babe 都是一个经过精心挖掘的重要遗址（Turk 1997）。
40 Turk (1997) described the discovery of the bone ‘flute’ from Divje Babe while Kunej and Turk (2000) undertook a musical analysis of this artefact and defended its flute status against the criticisms that had been raised by D’Errico et al. (1998) and others. Whether or not a Neanderthal flute was found, Divje Babe is an important site that has been meticulously excavated (Turk 1997).
41 D'Errico 等人（1998 年）对 Divje Babe 的“长笛”进行了微观分析，并证明它很可能是 食肉动物啃咬的产物，偶然看起来像一支笛子。
41 D’Errico et al. (1998) undertook a microscopic analysis of the Divje Babe ‘flute’ and demonstrated that it is most likely a product of carnivore gnawing that fortuitously looks like a flute.
42 反对长笛解释的进一步证据听起来如此明显，以至于人们想知道它怎么会被忽视 土耳其语：末端被骨组织堵塞，阻止空气通过——“笛子”根本不可能演奏。
42 Further evidence against the flute interpretation sounds so obvious that one wonders how it could ever have been ignored by Turk: the ends were blocked with bone tissue, preventing the passage of air – the ‘flute’ could simply never have been played.
16. 语言的起源
16. The origin of language
1 White 等人（2003 年）。Stringer （2003） 对这些发现的重要性提供了有用的评论。
1 White et al. (2003). A useful commentary on the significance of these finds is provided by Stringer (2003).
2 McDougall 等人（2005 年）重新测定了 Omo I 和 Omo 正下方沉积物中浮石碎屑的长石晶体 II 标本，给出的日期为 196， 000±2000 年前。他们估计化石的年龄接近这个年龄，并提出 195， 000±5000 年前。
2 McDougall et al. (2005) redated feldspar crystals from pumice clasts in the sediments immediately below the Omo I and Omo II specimens, giving a date of 196, 000±2000 years ago. They estimated the age of the fossils as being close to this and proposed 195, 000±5000 years ago.
3 McBrearty 和 Brooks （2000） 对来自非洲的化石证据进行了简要概述，并讨论了各种解释。
3 McBrearty and Brooks (2000) provide a succinct overview of the fossil evidence from Africa and discuss various interpretations.
4 Johanson 和 Edgar （1996） 提供了这些特定化石的描述和出色的彩色插图。
4 Johanson and Edgar (1996) provide descriptions of these particular fossils and excellent colour illustrations.
5 标志着人类进化遗传学研究新阶段的原始论文是 Cann 等人（1987 年）。测度 通过查阅最近的人类进化遗传学教科书，可以欣赏到已经取得的惊人进展 作者：Jobling et al. （2003）。
5 The original paper that marked a new phase in the study of human evolutionary genetics was Cann et al. (1987). A measure of the astounding progress that has been made can be appreciated by consulting the recent textbook on human evolutionary genetics by Jobling et al. (2003).
6 对三个尼安德特人标本的研究已经证明了这一点，其中一个是来自尼安德河谷的模式标本 （Krings 等人，1997 年），其他来自温贾（42， 000 年前）和 Mezmaiskaya（29， 000 年前）。Jobling 等人。 （2003 年，第 260-3 页）提供了对这些研究的出色总结和解释。
6 This has been demonstrated by studies of three Neanderthal specimens, one being the type-specimen from the Neander Valley (Krings et al. 1997), the others being from Vindjia (42, 000 years ago) and Mezmaiskaya (29, 000 years ago). Jobling et al. (2003, pp. 260–3) provide an excellent summary and interpretation of these studies.
7 Ingman 等人（2000 年）研究了 53 个现代人的完整线粒体 DNA 序列，而不仅仅是集中 在占线粒体基因组不到 7% 的对照区域。他们对最近 他们现代人样本的共同祖先是 171， 000±50， 000 年前。
7 Ingman et al. (2000) studied the complete mitochondrial DNA sequence of fifty-three modern humans, rather than just concentrating on the control region which constitutes less than 7 per cent of the mitochondrial genome. Their estimate for the most recent common ancestor of their sample of modern humans was 171, 000±50, 000 years ago.
8 Bishop （2002） 对 KE 家族的研究和遗传研究的结果进行了有用而简洁的总结， 讨论了对所谓“语言基因”的各种解释。Pinker （2003） 也对此进行了有用的总结 工作，认为它支持他自己关于语言能力自然选择的想法。
8 Bishop (2002) provides a useful and succinct summary of the studies of the KE family and the results of the genetic studies, discussing various interpretations of the so-called ‘language gene’. Pinker (2003) also provides a useful summary of this work, arguing that it supports his own ideas about the natural selection of the language capacity.
9 Lai 等人（2001 年）。
9 Lai et al. (2001).
10 Enard 等人（2002 年）。Enard 等人 （2002） 和 Pinker （2003） 在氨基酸的数量上存在不一致 不同哺乳动物的 FOXP2 基因不同。我一直在关注 Enard 等人。
10 Enard et al. (2002). There is an inconsistency between Enard et al. (2002) and Pinker (2003) as to the number of amino acids that are different between the FOXP2 gene in different mammals. I have followed Enard et al.
11 Enard 等人（2002 年，第 871 页）。
11 Enard et al. (2002, p. 871).
12 除非另有说明，否则以下部分借鉴了对非洲考古学的出色、详细和全面的回顾 由 McBrearty 和 Brooks （2000） 提供。
12 Unless otherwise specified, the following section draws on the excellent, detailed and comprehensive review of African archaeology provided by McBrearty and Brooks (2000).
13 最近有几篇关于布隆博斯洞穴工作的报告提供了有关发现及其背景的详细信息。 特别有价值的是 Henshilwood 和 Sealy （1997） 描述了骨制品，Henshilwood 等人 （2001） 描述了 1992-9 年的发掘，以及 Henshilwood 等人（2002 年），总结了赭石版画并认为这些雕刻提供了至关重要的 现代人类行为出现的证据。
13 There are several recent reports of the work at Blombos Cave that provide details about the discoveries and their context. Of particular value are Henshilwood and Sealy (1997), describing bone artefacts, Henshilwood et al. (2001), describing the 1992–9 excavations, and Henshilwood et al. (2002), summarizing the ochre engravings and arguing that these provide crucial evidence for the emergence of modern human behaviour.
14 Henshilwood 等人（2004 年）描述了 41 个由 Blombos 洞穴的 Nassarius kraussianus 制成的穿孔贝壳珠。
14 Forty-one perforated shell beads made from Nassarius kraussianus from Blombos Cave are described by Henshilwood et al. (2004).
15 Knight 等人 （1995） 提供了来自 Klasies 河口的赭石的定量数据，表明 数量在大约 100， 000 年前。但要小心他们的解释！
15 Knight et al (1995) provide quantitative data on the ochre from Klasies River Mouth, showing a very substantial increase in quantity at around 100, 000 years ago. But be careful of their interpretation!
16 即使是这些遗址也没有提供最早使用赭石的痕迹。肯尼亚 GnJh-15 遗址的考古矿床 的历史可以追溯到 280， 000 年前，被描述为具有“红色染色的泥土”，有许多易碎且保存不佳 赭石碎片。三块赭石来自赞比亚双河洞穴 （Twin Rivers Cave） 中富含人工制品的矿床，如下所示 该层可追溯到 230， 000 年前（McBrearty 和 Brooks 2000）。
16 Even those sites do not provide the earliest traces of ochre use. Archaeological deposits at the site of GnJh-15 in Kenya have been dated to 280, 000 years ago and are described as having ‘red-stained earth’ with numerous friable and poorly preserved ochre fragments. Three pieces of ochre have come from artefact-rich deposits in Twin Rivers Cave, Zambia, which are below a layer dated to 230, 000 years ago (McBrearty and Brooks 2000).
17 汉弗莱 （1984年，第152页）。
17 Humphrey (1984, p. 152).
18 我对雷的工作的引用借鉴了雷（1998， 2000， 2002a， b， c）。
18 My references to Wray’s work draw on Wray (1998, 2000, 2002a, b, c).
19 我对 Kirby 工作的引用借鉴了 Kirby （2001， 2002） 以及 Kirby 和 Christiansen （2003）。
19 My references to Kirby’s work draw on Kirby (2001, 2002) and Kirby and Christiansen (2003).
20 参见 Bickerton （2003） 和 Tallerman（正在出版）对 Wray 的整体原始语言概念的批评，特别是 的分割过程。
20 See Bickerton (2003) and Tallerman (in press) for criticisms of Wray’s notion of holistic proto-language in general, and especially of the process of segmentation.
21 西蒙·柯比 （Simon Kirby） 只是一直在通过计算机模拟探索语言演变的几位学者之一。重要 这种类型的工作已经由 Martin Nowak 承担（Nowak 等人，1999 年;Nowak 和 Komarova2001a， b;Komarova 和 Nowak 2003 年）。 这侧重于通过使用博弈论来研究“通用语法”的演变。另见 Brighton（2002） 和 Tonkes 和 Wiles （2002）。
21 Simon Kirby is just one of several scholars who have been exploring the evolution of language by computer simulation. Important work of this type has been undertaken by Martin Nowak (Nowak et al. 1999; Nowak and Komarova2001a, b; Komarova and Nowak 2003). This has focused on examining the evolution of ‘Universal Grammar’ by the use of game theory. Also see Brighton(2002) and Tonkes and Wiles (2002).
22 Hauser 等人（2002 年）。
22 Hauser et al. (2002).
23 参见 Wray 和 Grace（正在出版）在一篇文章中对社会组织如何影响语言的重要讨论 恰如其分地命名为“与陌生人交谈的后果”。
23 See Wray and Grace (in press) for an important discussion of how social organization impacts upon language, in an article appropriately entitled ‘The consequences of talking to strangers’.
24 参见 McBrearty 和 Brooks （2000）。
24 See McBrearty and Brooks (2000).
25 毕晓普 （2002）。
25 Bishop (2002).
26 Berk （1994），并参见 Diaz 和 Berk （1992） 编辑的卷。
26 Berk (1994), and see the edited volume by Diaz and Berk (1992).
27 McBrearty 和 Brooks （2000）。他们围绕着对那些认为现代行为起源于的人的挑战来构建他们的文章 大约在 40， 000 年前的欧洲旧石器时代晚期——我相信，建立了一个稻草人 争论。200， 000 至 40， 000 年前的非洲时期被称为中石器时代，经常被采用 相当于欧洲的旧石器时代中期。尽管石材技术有很强的相似之处，但 McBrearty 布鲁克斯认为这两个时期在根本上是不同的，在中石器时代有现代行为的痕迹 考古学。
27 McBrearty and Brooks (2000). They frame their article around a challenge to those who have argued that modern behaviour originated in the Upper Palaeolithic of Europe around 40, 000 years ago – setting up, I believe, something of a straw man against which to argue. The period 200, 000 to 40, 000 years ago in Africa is referred to as the Middle Stone Age and has often been taken to be equivalent to the Middle Palaeolithic of Europe. Although there are strong similarities in the stone technology, McBrearty and Brooks argue that these two periods are fundamentally different, with traces of modern behaviour in the Middle Stone Age archaeology.
28 这些微石器是 Howisons Poort 工业的一部分，该行业与中石器时代的人工制品在层之间分层。
28 These microliths are part of the Howisons Poort industry, which is interstratified between layers with Middle Stone Age artefacts.
29 这个永久性的变化是晚石器时代的开始。事实上，这件事的年代相当有争议，而且可能是 整个大陆的变化很大。在一些地区，它可能直到最后一次冰期最大值 20， 000 年前。
29 This permanent change is the start of the Later Stone Age. The dating of this is, in fact, rather contentious, and might be highly variable across the continent. In some regions it may not have become established until the last glacial maximum at 20, 000 years ago.
30 卡坦达鱼叉由 Yellen 等人 （1995） 描述。
30 Katanda harpoons are described by Yellen et al. (1995).
31 McBrearty 和 Brooks （2000）。
31 McBrearty and Brooks (2000).
32 参见 Shennan （2000） 研究文化传播与人口密度之间关系的计算模型。
32 See Shennan (2000) for computational models that examine the relationship between cultural transmission and population density.
33 Ingman 等人（2000 年）估计，人口扩张始于大约 1925 代人之前。它们假定生成时间 二十年，并得出结论，这相当于 38、500 年前。
33 Ingman et al. (2000) estimate that the population expansion began at about1925 generations ago. They assume a generation time of twenty years and conclude that this equates to 38, 500 years ago.
34 Lahr 和 Foley （1994） 解释说，在永久性 在欧亚大陆建立智人。根据 Ingman 等人 （2000） 的遗传证据和形态特征，Qafzeh 而 Skhul 种群显然不是现代智人的祖先。
34 Lahr and Foley (1994) explain that there are likely to have been multiple dispersals out of Africa prior to the permanent establishment of Homo sapiens in Eurasia. On the basis of the genetic evidence from Ingman et al. (2000), and of morphological characteristics, the Qafzeh and Skhul populations are evidently not ancestral to modern Homo sapiens.
35 米森 （1996）。
35 Mithen (1996).
36 Carruthers （2002） 是一篇长文，探讨了思想和语言之间关系的各种观点，范围 从那些相信所有思想都依赖于语言的人，到那些认为两者实际上无关的人。他 采取一种特定类型的中间立场，将语言视为模块化集成的载体。有很多评论 在他的文章中，来自许多语言学家、心理学家和哲学家，然后是他的回应。
36 Carruthers (2002) is a long article that explores various views of the relationship between thought and language, ranging from those who believe that all thought is dependent upon language, to those who see the two as effectively unrelated. He takes a specific type of middle ground, seeing language as the vehicle for intermodular integration. There are numerous comments on his article from a host of linguists, psychologists and philosophers, followed by his response.
17. 一个谜团被解释，但并没有被削弱
17. A mystery explained, but not diminished
1 以下关于 Geissenklösterle 和 Isturitz 长笛/风笛的文字借鉴了 D'Errico 等人（2003 年）的材料。
1 The following text about the Geissenklösterle and Isturitz flutes/pipes draws on material in D’Errico et al. (2003).
2 Dams （1985） 描述了在洞穴中使用天然“石琴”的情况。有人认为，一些洞穴中的墙壁也涂了漆 具有特别好的声学特性。
2 The use of natural ‘lithophones’ in caves is described by Dams (1985). It is argued that some painted walls in caves also have particularly good acoustic properties.
3 内特尔 （1983 年，第 138 页）。
3 Nettl (1983, p. 138).
4 布莱金（1973 年，第 34 页）。
4 Blacking (1973, p. 34).
“5 事实上，他写得更糟糕：”我们生活在一个音调放荡的时代......很明显，二流的机械音乐是 最适合那些音乐体验只不过是听觉上的挠痒痒的人，就像提供的那样 对于那些性体验只不过是定期消除反复出现的瘙痒的人来说，这是最合适的出口。扬声器是音乐的街头行走者“（Lambert 1934，引用 在 Horden 2000 年，第 4 页）。
5 In fact, he wrote much worse: ‘We live in an age of tonal debauch … It is obvious that second-rate mechanical music is the most suitable fare for those to whom musical experience is no more than a mere aural tickling, just as the prostitute provides the most suitable outlet for those to whom sexual experience is no more than the periodic removal of a recurring itch. The loud speaker is the street walker of music’ (Lambert 1934, cited in Horden 2000, p. 4).
6 参见拜伦（1995 年，第 17-18 页）关于布莱金对音乐精英主义的看法。
6 See Byron (1995, pp. 17–18) for Blacking’s views about elitism in music.
7 Nettl （1983， 第 3 章） 认为，音乐的一个普遍特征是它被用来与超自然现象交流。
7 Nettl (1983, chapter 3) argues that a universally found feature of music is that it is used to communicate with the supernatural.
8 关于超自然在宗教中的作用，以及关于宗教的进化和认知基础的讨论，见博耶 (2001).
8 For the role of the supernatural in religion, and discussion about the evolution and cognitive basis of religion, see Boyer (2001).
9 博耶 （2001）。
9 Boyer (2001).
10 以下文本借鉴了我在 Mithen （1996， 1998） 中的想法。
10 The following text draws on my own ideas in Mithen (1996, 1998).
11 天 （2004年，第116页）。
11 Day (2004, p. 116).
12 例如，Mithen （1998）。
12 For example, Mithen (1998).
13 天 （2004， p. 116）.
13 Day (2004, p. 116).
14 我在这里注意到心理学家凯瑟琳·吉布森（Kathleen Gibson）写道，“个体发育的观点已经成为规则，而不是 而不是例外，在认知和语言进化的严肃学者中“（Gibson 和 Ingold 1993，第 26 页）。
14 I note here that the psychologist Kathleen Gibson has written that ‘ontogenetic perspectives have become the rule, rather than the exception, among serious scholars of cognitive and linguistic evolution’ (Gibson and Ingold 1993, p. 26).
15 雷（2000 年，第 286 页）。
15 Wray (2000, p. 286).
16 雷 （2002a，第 114 页）。
16 Wray (2002a, p. 114).
17 Tallerman（出版中）。
17 Tallerman (in press).
18 斯塔尔 （1988）。Staal （1989， p. 71） 自己推测，咒语实际上“在人类的发展中早于语言 一种时间顺序的感觉”。
18 Staal (1988). Staal (1989, p. 71) himself speculated that mantras actually ‘predate language in the development of man in a chronological sense’.
19 拜伦（1995 年，第 17-18 页）。
19 Byron (1995, pp. 17–18).
20 布莱金（1973 年，第 100 页）。
20 Blacking (1973, p. 100).
21 关于这个问题的讨论，见 Nettl （1983， 第 7 章）。
21 For a discussion of this issue, see Nettl (1983, chapter 7).
书目
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图片致谢
Picture acknowledgements
我感谢 Margaret Mathews 绘制了图 7、8、13-17 和 20，并感谢 Jane Burrell 绘制了图 18。
I am grateful to Margaret Mathews for drawing figures 7, 8, 13–17 and 20, and to Jane Burrell for figure 18.
图 1.改编自Lahr & Foley （2004）。
Figure 1. Adapted from Lahr & Foley (2004).
图 2-4。来自 Carter （1998）。
Figures 2–4. From Carter (1998).
图 5.来自Peretz & Coltheart 2003，经Isabelle Peretz许可复制。
Figure 5. From Peretz & Coltheart 2003, reproduced with permission of Isabelle Peretz.
图 6.在 Jobling 等人 （2004） 之后。
Figure 6. After Jobling et al (2004).
图7、8、13、14，根据Johnson & Edgar （1996）。
Figures 7, 8, 13, 14, after Johnson & Edgar (1996).
图 9.经 John Fleagle 许可转载自 Lewin （1999）。
Figure 9. Reproduced from Lewin (1999) with permission of John Fleagle.
图 10.根据Aiello & Dunbar（1993）的数据绘制。
Figure 10. Drawn on basis of data from Aiello & Dunbar (1993).
图 12.转载自Roberts & Parfitt（1999年），已获得英国遗产的许可。
Figure 12. Reproduced from Roberts & Parfitt (1999), permission sought from English Heritage.
图 15.在 Turk （1997） 之后。
Figure 15. After Turk (1997).
图 16.在 White 等人 （2003） 之后。
Figure 16. After White et al (2003).
图 17.在 Henshilwood 等人 （2002） 之后。
Figure 17. After Henshilwood et al (2002).
图 20.在 D'Errico 等人 （2003） 之后。
Figure 20. After D’Errico et al (2003).
指数
Index
aborigines, Australian, 168, 318
跟腱，153
Achilles tendon, 153
成人导向的语音 （ADS），71,74
adult-directed speech (ADS), 71, 74
阿法尔语，247
Afar language, 247
非洲，204、207、264、276;人类进化，6,222-3,246-9,260-2; 音乐，90;南方，97,123,230; 中央，97;语言的演变，121,257-8,260; 萨赫勒地区，122 人;东部，123 人;分散，161-2,165-6,223,26-32,268,331; 手斧来自，164;工具制造技术的转变，239;具象艺术，250-1;考古记录，251,258,260-2; 另请参阅东非;北非;南非
Africa, 204, 207, 264, 276; human evolution in, 6, 222–3, 246–9, 260–2; music of, 90; southern, 97, 123, 230; central, 97; evolution of language in, 121, 257–8, 260; Sahel region, 122; eastern, 123; dispersals out of, 161–2, 165–6, 223, 26–32, 268, 331; hand-axes from, 164; shift in tool-making technology, 239; representational art in, 250–1; archaeological record of, 251, 258, 260–2; see also East Africa; North Africa; South Africa
失语症，47
agraphia, 47
农业， 265
agriculture, 265
莱斯利·艾洛，135-6、146-7、150、186、198
Aiello, Leslie, 135–6, 146–7, 150, 186, 198
Alajouanine， Théophile， 47
Alajouanine, Théophile, 47
格兰特·艾伦，58-9
Alonzo (autistic boy), 150–1, 152
安博塞利国家公园，107
Amboseli National Park, 107
阿穆西亚，15,46-61,64; 涉及的大脑区域，47、49、50、51、53、54、56、64-5;先天性，59,274,296-7; 在英国人口中，296 人;遗传力，296-7
amusia, 15, 46–61, 64; brain areas implicated in, 47, 49, 50, 51, 53, 54, 56, 64–5; congenital, 59, 274, 296–7; in British population, 296; heritability, 296–7
解剖学： 见 双足行走;体毛;脑;耳朵;枕骨大孔;臀大肌;舌下管;指关节走路;性二态性;爬树;椎管;声带
anatomy: see bipedalism; body hair; brain; ear; foramen magnum; gluteus maximus; hypoglossal canal; knuckle-walking; sexual dimorphism; tree-climbing; vertebral canals; vocal tracts
祖先：人类和黑猩猩共有，17， 122， 126， 134， 286;人类和猿类共有，107、119、126、128、138、147;最早的人类，105,121; 人类的分散，161-3;尼安德特人，163,227; 人类和尼安德特人共有，222、245、248、263;直接人类， 253
ancestors: common to humans and chimpanzees, 17, 122, 126, 134, 286; common to humans and apes, 107, 119, 126, 128, 138, 147; earliest human, 105, 121; dispersals of human, 161–3; of Neanderthals, 163, 227; common to humans and Neanderthals, 222, 245, 248, 263; immediate human, 253
愤怒，86、87、88、93、94、202;在原始人中，127， 128;在尼安德特人中，221,236
anger, 86, 87, 88, 93, 94, 202; among hominids, 127, 128; among Neanderthals, 221, 236
动物叫声，81,283-6; 另见发声
animal calls, 81, 283–6; see also vocalizations
羚羊，126,137; 另见 Hartebeest;捻角羚;角马
antelopes, 126, 137; see also hartebeest; kudu; wildebeest
巴黎人类学学会，31
Anthropological Society of Paris, 31
鹿角，164
antler, 164
焦虑，234,236
猿类：获得语言的能力，23,145,303-4; 情绪，86,101; 符号的使用，105;进化，107;发声，107， 113–8， 119， 120， 129， 136， 138， 147， 149， 158， 182， 184， 198， 254， 284， 304;有限呼叫曲目，115-8、128、132、147;脑大小，115,123,158; 声带，116,147; 心智理论，117-8,128,136; 手势，118-21,133,138; 环境，126,132; 饮食，126;解剖学和运动，141,142; 在中国，161 人;非拟态的，167;社会组织，180-2;阿尔法雄性，181-2;婴儿护理，198,202; 椎管，227;另见倭黑猩猩;黑猩猩;大 猩猩
apes: ability to acquire language, 23, 145, 303–4; emotions in, 86, 101; use of symbols, 105; evolution of, 107; vocalizations, 107, 113–8, 119, 120, 129, 136, 138, 147, 149, 158, 182, 184, 198, 254, 284, 304; limited call repertoires, 115–8, 128, 132, 147; brain size, 115, 123, 158; vocal tract, 116, 147; theory of mind, 117–8, 128, 136; gestures, 118–21, 133, 138; environment, 126, 132; diet, 126; anatomy and locomotion, 141, 142; in China, 161; non-mimetic, 167; social organization, 180–2; alpha males, 181–2; care of infants, 198, 202; vertebral canals, 227; see also bonobos; chimpanzees; gorillas
失语症，15， 31–45， 46， 50， 55， 56， 57;涉及的大脑区域，31-3,35-9;布罗卡的，32 岁;韦尼克的，32 岁;全球，32,38; 异常症，32;和音乐能力，33-45
aphasia, 15, 31–45, 46, 50, 55, 56, 57; brain areas implicated in, 31–3, 35–9; Broca’s, 32; Wernicke’s, 32; global, 32, 38; anomic, 32; and musical abilities, 33–45
迈克尔·阿尔比布，130-1
弓箭手主题曲，18,19
Ardipithecus ramidus， 122， 126， 134， 144
Ardipithecus ramidus, 122, 126, 134, 144
陆军新兵，208,216
胡安·路易斯·阿苏阿加，218-9
文物，125、144、160-3、180、192、195;尼安德特人，224,228-32; 人类，261,268; 另请参阅工具
artefacts, 125, 144, 160–3, 180, 192, 195; Neanderthal, 224, 228–32; human, 261, 268; see also tools
亚洲，78 例;东南，112,163,316; 殖民化，161,165-6,262; 西部，161,164,285; 南方，164;西南， 165， 221
Asia, 78; south-east, 112, 163, 316; colonization of, 161, 165–6, 262; western, 161, 164, 285; southern, 164; south-west, 165, 221
阿塔普尔卡，162、165、205、218-20、222-3、241、278
Atapuerca, 162, 165, 205, 218–20, 222–3, 241, 278
注意力缺陷障碍，97
attention-deficit disorder, 97
澳大利亚，263
Australia, 263
南方古猿（属），122-3,164,207,278; 大脑大小，123、130、146、158、185;性二态性，123,184; 呼叫曲目，129,132; 群体大小，134,217; 解剖学和运动，141,142,144; 环境，144;发声，158,176; 一夫多妻制，187;其中，托儿所，198 人;合作，217;椎管，227;另请参阅Taung 儿童
Australopithecus (genus), 122–3, 164, 207, 278; brain size, 123, 130, 146, 158, 185; sexual dimorphism, 123, 184; call repertoire, 129, 132; group size, 134, 217; anatomy and locomotion, 141, 142, 144; environment, 144; vocalizations, 158, 176; polygyny among, 187; childcare among, 198; cooperation among, 217; vertebral canal, 227; see also Taung child
Australopithecus afarensis （露西）， 123， 124;“第一家庭”，123,183; 足迹小径，183;解剖学和运动，142,145; 性二态性，183-4;体型，183;一夫多妻制，184
Australopithecus afarensis (Lucy), 123, 124; ‘first family’, 123, 183; footprint trail, 183; anatomy and locomotion, 142, 145; sexual dimorphism, 183–4; body size, 183; polygyny among, 184
非洲南方古猿， 226
Australopithecus africanus, 226
autism, 77, 79, 97, 295, 299–300
罗伯特·阿克塞尔罗德，211-4
阿赞德魔法，97
Azande magic, 97
婴儿：见 婴儿
babies: see infants
baboons, 132, 137, 307; see also gelada baboons
保姆，186
baby-sitting, 186
巴赫，JS，1、7、13、18、23、66-7、90、92、122、272、278
Bach, J. S., 1, 7, 13, 18, 23, 66–7, 90, 92, 122, 272, 278
背部受伤，186 例
back injuries, 186
班南，尼古拉斯，5 岁
Bannan, Nicholas, 5
罗伯特·巴伦，99 岁
Baron, Robert, 99
西蒙·科恩男爵，89 岁
Baron-Cohen, Simon, 89
贝拉·巴托克，294
Bartók, Béla, 294
披头士乐队，14 岁
Beatles, 14
杰弗里·贝蒂，155
Beattie, Geoffrey, 155
海狸，193
beavers, 193
山毛榉坑，319
Beeches Pit, 319
贝多芬，路德维希·范，13,14,54,91,92,94,205
Beethoven, Ludwig van, 13, 14, 54, 91, 92, 94, 205
威廉·本松，216
Benzon, William, 216
Berekhat 公羊雕像，229,326
Berekhat ram figurine, 229, 326
Berger， Dorita S.， 150 岁
Berger, Dorita S., 150
劳拉·伯克，259
Berk, Laura, 259
柏林，布伦特，170-1
Bickerton, Derek, 3, 4, 148, 149, 253–4, 312
大型猎物狩猎，160、164、166、167、194、218;尼安德特人，230,232; 和人类的定义，314
big-game hunting, 160, 164, 166, 167, 194, 218; by Neanderthals, 230, 232; and definition of humanity, 314
双语，16
bilingualism, 16
比尔辛斯莱本，173-5,193,194,204,242,251; 骨片， 229， 326
Bilzingsleben, 173–5, 193, 194, 204, 242, 251; bone fragment, 229, 326
双足行走，122、123、129、133、138、158、163、227;进化，139,144-7,150,152-3,198-200,202,218,234; 解剖学适应，141-4,184,274; 和智力，146;节奏和，150,152,176; 对产道的限制，185,196,198
bipedalism, 122, 123, 129, 133, 138, 158, 163, 227; evolution of, 139, 144–7, 150, 152–3, 198–200, 202, 218, 234; anatomical adaptations for, 141–4, 184, 274; and intelligence, 146; rhythm and, 150, 152, 176; constraint on birth canal, 185, 196, 198
鸟类，137、172、175、254、284;歌，81,112,116,178,283-6; 名字，169,171; 完美投球，300
birds, 137, 172, 175, 254, 284; song, 81, 112, 116, 178, 283–6; names, 169, 171; perfect pitch in, 300
野牛，238
bison, 238
Blackfoot Indians, 13, 287, 289
约翰·布莱金：关于音乐的普遍性，2,13,14,277-8,279; 关于音乐的演变，5;关于文达音乐创作，14,209,217,241,301-2;关于音乐的获取，16 页;关于音乐和世界观，18;关于音乐和情感，90-1;关于音乐和人体，139,153; 关于音乐的复杂性和排斥性，270-1;关于音乐和文字，282;论音乐史，283
Blacking, John: on universality of music, 2, 13, 14, 277–8, 279; on evolution of music, 5; on Venda music-making, 14, 209, 217, 241, 301–2; on acquisition of music, 16; on music and worldview, 18; on music and emotions, 90–1; on music and human body, 139, 153; on musical complexity and exclusion, 270–1; on music and words, 282; on histories of music, 283
尼古拉斯·布鲁顿-琼斯，186
Blurton-Jones, Nicholas, 186
沃尔特·博德默，199
Bodmer, Walter, 199
body hair, 123, 154, 199–200, 322
肢体语言，88-9、93、155-7、158、197、313、317;在原始人中，128、144、154;普遍和文化元素，156;早期人类，167,192; 尼安德特人，240-1
body language, 88–9, 93, 155–7, 158, 197, 313, 317; among hominids, 128, 144, 154; universal and cultural elements, 156; Early Human, 167, 192; Neanderthal, 240–1
体虱，200
body lice, 200
身体运动，157,208; 另见夹带;手势
body movements, 157, 208; see also entrainment; gestures
body painting, 229–30, 251–52, 261
倭黑猩猩，105、107、182;发声，107,118,206-7; 手势，118,119,120; 性，181;婴儿护理，198;另请参阅Kanzi （堪兹）
bonobos, 105, 107, 182; vocalizations, 107, 118, 206–7; gestures, 118, 119, 120; sex among, 181; care of infants, 198; see also Kanzi
边境洞穴，252
Border Cave, 252
弗朗索瓦·博尔德斯，237
Bordes, François, 237
博茨瓦纳， 307
Botswana, 307
边界损失， 209， 214， 215， 216， 218， 220
boundary loss, 209, 214, 215, 216, 218, 220
“有限理性”，87
‘bounded rationality’, 87
博克斯格罗夫，163-4、190-6、199、200、204
Boxgrove, 163–4, 190–6, 199, 200, 204
帕斯卡·博耶，272
Boyer, Pascal, 272
大脑：结构，28-30,275,292;进化，28-9,64,67,82,139,158-9,275; 成像（扫描），30-1、65、68、69、152;病变分析， 31， 65， 68， 69;涉及语言的领域，31-3,35-9;布罗卡面积，32,66,130-2;韦尼克的地区，32 人;与音乐有关的区域，34、47、49、50、51、53、54、56、64-8;语言和音乐能力的分离，40， 46， 54， 58， 62， 65， 69;模块化模型，62-4、83、274;可塑性，64,68; 发展，83-4,260,275;F5 面积（猴子），130-1;两足行走的要求，152;大小阈值，187;化学，216-7;脑化商 （EQ），223;体型和智力，223;和环境，275
brain: structure, 28–30, 275, 292; evolution of, 28–9, 64, 67, 82, 139, 158–9, 275; imaging (scanning), 30–1, 65, 68, 69, 152; lesion analysis, 31, 65, 68, 69; areas implicated in language, 31–3, 35–9; Broca’s area, 32, 66, 130–2; Wernicke’s area, 32; areas implicated in music, 34, 47, 49, 50, 51, 53, 54, 56, 64–8; separation of linguistic and musical capacities in, 40, 46, 54, 58, 62, 65, 69; modular model of, 62–4, 83, 274; plasticity, 64, 68; development, 83–4, 260, 275; F5 area (in monkeys), 130–1; requirements for bipedalism, 152; size threshold, 187; chemistry, 216–7; encephalization quotient (EQ), 223; size and intelligence, 223; and environment, 275
丹尼斯·布兰布尔，153-4
英国，192-3 年
布朗，史蒂文，26 岁
Brown, Steven, 26
Bruniquel 洞穴，242,243
丹尼斯·伯纳姆，74 岁
Burnham, Dennis, 74
屠宰场，133-4,137,157; 早期人类，193,195,204; 尼安德特人和，237,238,240; 手斧和，164,188,321
butchery, 133–4, 137, 157; by Early Humans, 193, 195, 204; Neanderthals and, 237, 238, 240; hand-axes and, 164, 188, 321
Byrne, Richard, 117, 118–9, 120
CA (musical savant), 42, 43, 294
日历计算器， 44
calendar calculators, 44
坎贝尔猴， 109
Campbell monkeys, 109
同类相食，162
cannibalism, 162
海岸角，251
Cape Coast, 251
琳达·卡波雷尔，215-6
彼得·卡拉瑟斯，264
Carruthers, Peter, 264
巴勃罗·卡萨尔斯，221
Casals, Pablo, 221
石窟艺术， 173， 230， 242， 252， 268， 270
cave art, 173, 230, 242, 252, 268, 270
Cebus 猴子，300 只
cebus monkeys, 300
乍得，123
Chad, 123
菲利普·蔡斯，237
Chase, Phillip, 237
Chatelperronian 工业，231
Chatelperronian industry, 231
肖维特，318
Chauvet, 318
《燧石》，125,164
儿童：解释猴子叫声的能力，111;声音模仿，131;音乐能力，178,260; 另见婴儿
children: ability to interpret monkey calls, 111; vocal imitation, 131; musical abilities, 178, 260; see also infants
黑猩猩，107 只;笑声，82;情绪状态，86;语言实验，105,303-4; 发声，107、109、114-15、118、132、206-7、226、284、286、307;声乐学习，116,307; 心智理论，117,308; 手势，118,119-21; 性二态性，123,182; 工具制造，126,127; 大脑大小，127;运动，139,141,143; 夹带，153;社会组织，181-2,184,206; 婴儿护理，198;哭泣，202;舌下管，226;FOXP2 基因，249
chimpanzees, 107; laughter, 82; emotional states, 86; language experiments, 105, 303–4; vocalizations, 107, 109, 114–15, 118, 132, 206–7, 226, 284, 286, 307; vocal learning among, 116, 307; theory of mind, 117, 308; gestures, 118, 119–21; sexual dimorphism, 123, 182; tool-making, 126, 127; brain size, 127; locomotion, 139, 141, 143; entrainment in, 153; social organization, 181–2, 184, 206; care of infants, 198; crying in, 202; hypoglossal canal, 226; FOXP2 gene, 249
China, 161; music, 90; dance, 168
窒息，147,227
乔姆斯基，诺姆，17、19-20、84、256、264、287
Chomsky, Noam, 17, 19–20, 84, 256, 264, 287
Chopi 木琴音乐，14
Chopi xylophone music, 14
丘吉尔，温斯顿，94
Churchill, Winston, 94
西塞罗，94
Cicero, 94
克拉克顿，314
Clacton, 314
拍手，266
clapping, 266
玛格丽特·克莱格，146
Clegg, Margaret, 146
气候变化， 165， 227， 237， 268， 311， 326
climate change, 165, 227, 237, 268, 311, 326
clothing, 199–200, 212, 233, 272
让·克洛茨，242
Clottes, Jean, 242
CN (amusia patient), 54, 56–8, 60
认知流动性，4， 233-4， 243， 263-6， 270-1， 274， 281
cognitive fluidity, 4, 233–4, 243, 263–6, 270–1, 274, 281
色盲， 58
colour-blindness, 58
计算机断层扫描 （CT），30、31、37、39、49、50、53、142、310
computerized tomography (CT), 30, 31, 37, 39, 49, 50, 53, 142, 310
概念形成，280
concept formation, 280
Congo、Democratic Republic 的、261
Congo, Democratic Republic of, 261
威廉·康格里夫，85 岁
Congreve, William, 85
意识，213
consciousness, 213
Cooke, Deryck, 25, 85, 90–2, 94, 100
弗雷德里克·柯立芝，233
Coolidge, Frederick, 233
合作，209-18
皮质醇，79
cortisol, 79
克雷林，埃德，226
Crelin, Ed, 226
凯瑟琳·克罗克福德，115
Crockford, Catherine, 115
鳄鱼， 307
crocodiles, 307
十字架， 基督徒， 272
cross, Christian, 272
哭泣，202
crying, 202
柯蒂斯，瓦莱丽，203
Curtis, Valerie, 203
捷克语， 288
Czech, 288
伊芙琳·达尔，36-7
安东尼奥·达马西奥，86 岁
Damasio, Antonio, 86
舞蹈，12,15,153-4,157; 阿赞德，97 岁;在原始人中，144,207; 中国人和印度人，168 人;在早期人类中，175、195、204、206、220;和性选择，179、182、187、191;在希腊村民和卡拉哈里布须曼人中，208 人;在尼安德特人中，234、236、240、242-3;在洞穴中，270
dance, 12, 15, 153–4, 157; Azande, 97; among hominids, 144, 207; Chinese and Indian, 168; among Early Humans, 175, 195, 204, 206, 220; and sexual selection, 179, 182, 187, 191; among Greek villagers and Kalahari Bushmen, 208; among Neanderthals, 234, 236, 240, 242–3; in caves, 270
查尔斯·达尔文：《人类的起源》，2,176; 人和动物的情感表达，85,88; 性选择理论，176-9,182,187,197,207; 物种起源，176;音乐思想，178-9,188,191; 和厌恶，203
Darwin, Charles: The Descent of Man, 2, 176; The Expression of Emotions in Man and Animals, 85, 88; sexual selection theory, 176–9, 182, 187, 197, 207; The Origin of Species, 176; ideas on music, 178–9, 188, 191; and disgust, 203
Davis, Miles, 1, 192, 266, 278
戴，马太，272-3
曼努埃尔·德·法雅，221
de Falla, Manuel, 221
弗朗茨·德瓦尔，207
de Waal, Franz, 207
耳聋，39
deafness, 39
鹿，160、164、173、193;侏儒，163;红色， 237， 238
deer, 160, 164, 173, 193; dwarf, 163; red, 237, 238
牙列：原始人，122、123、125、127、129、150、328;猿，182,184; 尼安德特人，241,328
dentition: hominid, 122, 123, 125, 127, 129, 150, 328; ape, 182, 184; Neanderthal, 241, 328
D’Errico, Francesco, 230, 231, 244, 269
绝望，90
despair, 90
沮丧，100
despondency, 100
戴安娜猴子，109
Diana monkeys, 109
discovery and exploration, 165, 316
Dissanayake, Ellen, 196–8, 204
Divje Babe Cave, 243–4, 269, 328
德马尼西，162,165
DNA, 122, 248, 262, 304, 324, 329
dogs, 74–5, 153, 154; puppies, 82; word for, 171
Donald, Merlin, 167–8, 169, 316–7
丹尼斯·德雷娜，297
Drayna, Dennis, 297
鲍勃·迪伦，23 岁
Dylan, Bob, 23
eagles, 108, 109, 132, 133, 318
耳朵，142,227; 脚踏板，129-30;镫骨， 310
ear, 142, 227; footplate, 129–30; stapes, 310
早期人类，6;社会组织，147,166,176,180,188,257-8; 分散，161-3,165-6;双足行走，163;大脑大小，163;通信系统，166-75,268;内存容量，173;思想保守主义，173,174; 儿童保育，199,202-4,275-6; 服装，200 人;合作，210,214-5,218,234; 和疾病，219;椎管，226-7;在非洲使用符号，251;乐器，269;特定领域的心态，318;另见原始人;直立人; Homo ergaster;海德堡人
Early Humans, 6; social organization, 147, 166, 176, 180, 188, 257–8; dispersals, 161–3, 165–6; bipedalism, 163; brain size, 163; communication systems, 166–75, 268; memory capacity, 173; conservatism of thought, 173, 174; childcare among, 199, 202–4, 275–6; clothing, 200; cooperation among, 210, 214–5, 218, 234; and disease, 219; vertebral canals, 226–7; use of symbols in Africa, 251; musical instruments, 269; domain-specific mentality, 318; see also hominids; Homo erectus; Homo ergaster; Homo heidelbergensis
东非， 133， 137， 145， 165， 186， 268， 311
East Africa, 133, 137, 145, 165, 186, 268, 311
echolalia, 41, 42, 43, 293, 295
埃迪（音乐专家），40-1、43-5、46、245、293、294
Eddie (musical savant), 40–1, 43–5, 46, 245, 293, 294
保罗·埃克曼，88-9
兴高采烈，236
elation, 236
electroencephalography (EEG), 30, 31, 37
elephants, 160, 173, 174, 193; dwarf, 163
艾灵顿，杜克，99
Ellington, Duke, 99
情绪，85-101,301;音乐和，18， 22， 24-5， 64， 85， 89-101， 178， 197， 273， 275， 276， 286;失语症患者和，36,38; AMUSIA 患者和，50 人;IDS 和，71、74、79、202;基本， 86， 94;复合体，86、88、94;普遍性，88,203; 在猴子中，110-1;在原始人中，127-8、136、150、154;在尼安德特人中，221、236、241
emotions, 85–101, 301; music and, 18, 22, 24–5, 64, 85, 89–101, 178, 197, 273, 275, 276, 286; aphasia patients and, 36, 38; amusia patients and, 50; IDS and, 71, 74, 79, 202; basic, 86, 94; complex, 86, 88, 94; universality of, 88, 203; among monkeys, 110–1; among hominids, 127–8, 136, 150, 154; among Neanderthals, 221, 236, 241
同理心，95
empathy, 95
沃尔夫冈·恩纳德，249
Enard, Wolfgang, 249
内啡肽，208-9
英格兰，163,191
英语， 17， 37， 70， 72–3， 78， 111， 171
English, 17, 37, 70, 72–3, 78, 111, 171
英国遗产， 193
English Heritage, 193
雕刻， 173
engraving, 173
entrainment (body movement), 15, 22, 25, 152, 153
嫉妒，88,221
埃塞俄比亚， 109， 165， 183， 246， 247;中阿瓦什地区， 122， 247
Ethiopia, 109, 165, 183, 246, 247; Middle Awash region, 122, 247
欧洲：冰河时代，88、200、213、221、224、235、237、269;音乐和医学，97;尼安德特人，158、164、200、238、248、250-3、260-1;殖民化，161-3,165-6,225,230,262,268; 北方，163;考古记录，251,260-2,268-9;东部，285;气候变化，326
Europe: ice-age, 88, 200, 213, 221, 224, 235, 237, 269; music and medicine in, 97; Neanderthals in, 158, 164, 200, 238, 248, 250–3, 260–1; colonization of, 161–3, 165–6, 225, 230, 262, 268; northern, 163; archaeological record, 251, 260–2, 268–9; eastern, 285; climate change in, 326
爱德华·埃文·埃文斯-普里查德，97 岁
Evans-Pritchard, Edward Evan, 97
珠穆朗玛峰综合征，165
Everest syndrome, 165
面部表情，70、83-4、88-9、93、156、197;在原始人中，128 人;和模仿，168;在儿童保育方面，202 人;厌恶， 203
facial expressions, 70, 83–4, 88–9, 93, 156, 197; among hominids, 128; and mimesis, 168; in childcare, 202; for disgust, 203
Falk, Dean, 130, 198, 200–3, 204
电影，98-9
芬兰语， 111
Finnish, 111
fireplaces, 173, 194, 224; see also hearths
第一次世界大战，96 年
First World War, 96
鱼， 170
fish, 170
费舍尔，RA，177
Fisher, R. A., 177
特库姆塞·菲奇，17 岁
Fitch, Tecumseh, 17
弗林特，164,188; 打砸，195,227; 微石， 261
flint, 164, 188; knapping, 195, 227; microliths, 261
弗洛里斯巴德，252
Florisbad, 252
folk music, 14, 21; songs, 20, 288
大孔，122,146
约瑟夫·福加斯，99
Forgas, Joseph, 99
沃尔特·弗里曼，216-7
《自由骑行》，213,215
法语， 36， 37， 56， 59， 72， 73， 171
French, 36, 37, 56, 59, 72, 73, 171
西格蒙德·弗洛伊德，86
Freud, Sigmund, 86
frogs, 193; croaking among, 206
水果，144-5
functional magnetic resonance imaging (fMRI), 30, 31, 35
福兹·普拉特，191
Furze Platt, 191
Gamble, Clive, 174, 175, 194, 195, 324
Geissenklösterle， 269， 270， 271
Geissenklösterle, 269, 270, 271
托马斯·盖斯曼，112-3
Gelada 狒狒，107、109-13、115、120;节奏和旋律的使用，110,121,135,136
gelada baboons, 107, 109–13, 115, 120; use of rhythm and melody, 110, 121, 135, 136
gender, 43; laughter and, 82; and emotions, 89, 93
佐治亚州，162
Georgia, 162
手势，15、25、84、197、276;普遍性，89,155; 猿，118-21;标志性，119、120、155、169;象征性，119,154-5; 原始人，128,154; 口服， 129， 131-2;听得见，157;早期人类，167,175,192; 起源，167-8;在儿童保育方面，202 人;尼安德特人，228,234,236,238,240-1; 象征性， 313
gestures, 15, 25, 84, 197, 276; universality of, 89, 155; ape, 118–21; iconic, 119, 120, 155, 169; symbolic, 119, 154–5; hominid, 128, 154; oral, 129, 131–2; audible, 157; Early Human, 167, 175, 192; origins of, 167–8; in childcare, 202; Neanderthal, 228, 234, 236, 238, 240–1; emblematic, 313
长臂猿，107、120、121、208、284、306;一夫一妻制，112-3,181,305-6; 性二态性，182;另请参阅穆勒长臂猿;暹罗长臂猿
gibbons, 107, 120, 121, 208, 284, 306; monogamy among, 112–3, 181, 305–6; sexual dimorphism, 182; see also Mueller’s gibbons; siamang gibbons
Gibraltar, 323; Straits of, 165
长颈鹿， 137
giraffe, 137
GL (amusia patient), 50–3, 54, 64
臀大肌， 154
gluteus maximus, 154
奥利维尔·戈德弗罗伊，39 岁
Godefroy, Olivier, 39
贡贝，114
Gombe, 114
简·古道尔，86 岁
Goodall, Jane, 86
大猩猩，107 只;发声，114， 115， 118， 134， 284;手势，118-9,120-1; 银背鱼，119、181、182;性二态性，123,182,183; 运动，139,141; 社会组织，181-2,184,187; 体型，183;舌下管，226;FOXP2 基因，249;另请参阅库比;祖拉
gorillas, 107; vocalizations, 114, 115, 118, 134, 284; gestures, 118–9, 120–1; silverbacks, 119, 181, 182; sexual dimorphism, 123, 182, 183; locomotion, 139, 141; social organization, 181–2, 184, 187; body size, 183; hypoglossal canal, 226; FOXP2 gene, 249; see also Kubie; Zura
佩内洛普·古克，97 岁
Gouk, Penelope, 97
语法，134、148-9、154、173、274、277;进化，3,260,290; 收购，19-20,51; 不协调，66;问题，249;遗传基础，250;“均变论假说”，290;另请参阅“通用语法”
grammar, 134, 148–9, 154, 173, 274, 277; evolution of, 3, 260, 290; acquisition of, 19–20, 51; incongruities of, 66; problems with, 249; genetic basis of, 250; ‘uniformitarian hypothesis’ for, 290; see also ‘Universal Grammar’
“语法化”，290
‘grammaticalization’, 290
grandmothering hypothesis, 186, 196, 201
希腊人，73 岁
Greek, 73
爱德华·格雷格，294
Greig, Edvard, 294
悲痛，88,221
格里彭特罗格。格雷戈里。76-8
美容，110、113、115、135、181、200;在原始人中，128,136; 声乐，135-6,311
grooming, 110, 113, 115, 135, 181, 200; among hominids, 128, 136; vocal, 135–6, 311
Grotte du Lazaret， 242
Grotte du Lazaret, 242
格罗特·沃弗雷，242
Grotte Vaufrey, 242
珍珠鸡， 109
guinea fowl, 109
哈达尔，183
Hadar, 183
哈扎，186
Hadza, 186
恩斯特·海克尔，275
Haeckel, Ernst, 275
手斧，165、172、192、194、239;尼安德特人，164、225、231、239;长寿，188;“性感”假说，188-91;“巨人”，191
hand-axes, 165, 172, 192, 194, 239; Neanderthal, 164, 225, 231, 239; longevity of, 188; ‘sexy’ hypothesis, 188–91; ‘giants’, 191
乔治·弗里德里希·亨德尔，18 岁
Handel, George Frideric, 18
让分原则，177
handicap principle, 177
幸福，86-8,90,93-5,98,99,208,215;在原始人中，127， 128;在早期人类中，167 人;在尼安德特人中，221,236
happiness, 86–8, 90, 93–5, 98, 99, 208, 215; among hominids, 127, 128; among Early Humans, 167; among Neanderthals, 221, 236
和谐，67-8
羚羊，169
hartebeest, 169
仇恨，90
hate, 90
豪萨语，286-7
马克·豪瑟，17,286
克里斯汀·霍克斯，186
Hawkes, Kristen, 186
hearths, 174, 224, 243, 261; see also fireplaces
吉米·亨德里克斯，179-80
克里斯托弗·亨希尔伍德，250-1
Henshilwood, Christopher, 250–1
赫梅林，贝特，43,294
赫尔托，246-9
格温·休伊特，226-7
印度教文化， 18
Hindu culture, 18
嘻哈，21 岁
hip hop, 21
hippopotamuses, 133; dwarf, 163
Hippotamus 人工制品遗址 （HAS），133
Hippotamus Artefact Site (HAS), 133
HJ (amusia patient), 47–9, 50, 52, 55, 274
“嗯”，138,149-50,155,158; 在早期人类中，161、166-7、169-72;更改为 'Hmmmmm'， 172
‘Hmmmm’, 138, 149–50, 155, 158; among Early Humans, 161, 166–7, 169–72; change to ‘Hmmmmm’, 172
“嗯嗯”，27,172-3,175,192-4,200,202,254; 音乐方面，176， 191， 192， 218， 234–5， 255;和母婴交流，192、196、198、203-4;语言的演变，203,246,255-61,265; 和群体身份，217-8,220,273; 在尼安德特人中，221、228、232、233-5、237、239、241-2、244-5;分割，255、257、258、260、268、274;递归，256-7;在现代人中，263 人;音乐的演变，266,270,272-5
‘Hmmmmm’, 27, 172–3, 175, 192–4, 200, 202, 254; musical aspects of, 176, 191, 192, 218, 234–5, 255; and mother-infant communication, 192, 196, 198, 203–4; evolution of language from, 203, 246, 255–61, 265; and group identity, 217–8, 220, 273; among Neanderthals, 221, 228, 232, 233–5, 237, 239, 241–2, 244–5; segmentation of, 255, 257, 258, 260, 268, 274; recursion in, 256–7; among modern humans, 263; evolution of music from, 266, 270, 272–5
Hohlenstein Stadel, 271, 272, 318
霍利迪，比莉，89 岁
Holliday, Billie, 89
“大本营/食物共享”假说，127,137
‘home base/food sharing’ hypothesis, 127, 137
原始人：系统发育，7,122; 完美音高，79;情绪，88,127-8,136,137-8; 发声和交流系统，107， 128-9， 132-8， 147-50， 176， 184， 268;呼叫曲目，114,126,131-2,147; 脑大小，123、125、127、130、138;环境，126,132-3,144,145; 社会组织和互动，126、127、134、135-8、146-8、176、206、257;饮食，126-7,129; 手势，133-4,138; 唱歌，136;母婴通讯，137;非拟态的，167;性二态性，184,191; 一夫多妻制，191;合作，209-10,214-5;群体身份，217-8;椎管，226-7;另见 Early Humans;Homo （属）
hominids: phylogeny, 7, 122; perfect pitch among, 79; emotions, 88, 127–8, 136, 137–8; vocalizations and communication systems, 107, 128–9, 132–8, 147–50, 176, 184, 268; call repertoires, 114, 126, 131–2, 147; brain size, 123, 125, 127, 130, 138; environment, 126, 132–3, 144, 145; social organization and interactions, 126, 127, 134, 135–8, 146–8, 176, 206, 257; diet, 126–7, 129; gestures, 133–4, 138; singing, 136; mother-infant communications, 137; non-mimetic, 167; sexual dimorphism, 184, 191; polygyny among, 191; cooperation among, 209–10, 214–5; group identity among, 217–8; vertebral canals, 226–7; see also Early Humans; Homo (genus)
人（属），107;情感交流，111;大脑大小，123,130; 与猿类的解剖学差异，128-9,138; 大脑发育，131-2,158,232,248; 群体大小，134,217; 运动，141;性选择，182;合作，217;社会安排，257;统计学习能力，258-9;特定领域的智能，264;另见原始人
Homo (genus), 107; emotional communication in, 111; brain size, 123, 130; anatomical differences from apes, 128–9, 138; brain development, 131–2, 158, 232, 248; group size, 134, 217; locomotion, 141; sexual selection in, 182; cooperation among, 217; social arrangements, 257; statistical learning capabilities, 258–9; domain-specific intelligence, 264; see also hominids
直立人， 6， 161;产生 Homo floresiensis， 163;模仿的使用，167;一夫多妻制，187,190; 对称的吸引力，190;托儿所 199 人
Homo erectus, 6, 161; gives rise to Homo floresiensis, 163; use of mimesis, 167; polygyny among, 187, 190; attraction to symmetry, 190; childcare among, 199
Homo ergaster， 4， 6， 139-41， 161， 163， 165， 222， 278;大脑大小，139、146、184-5、187、221、223;解剖学和运动，142、144、154、184;发声，147,148-9,154,158,218,221,233-4,253,257; 社会组织，148-9,185-7,190,221,225,228,239; 手势，150,154-5; 模仿的使用，167;性二态性和体型，184-5,187,191,199; 对称的吸引力，190;儿童保育，196， 198–201， 204， 276;椎管，227;与智人化石共有的特征，247-8;另请参阅Nariokotome 男孩
Homo ergaster, 4, 6, 139–41, 161, 163, 165, 222, 278; brain size, 139, 146, 184–5, 187, 221, 223; anatomy and locomotion, 142, 144, 154, 184; vocalizations, 147, 148–9, 154, 158, 218, 221, 233–4, 253, 257; social organization, 148–9, 185–7, 190, 221, 225, 228, 239; gestures, 150, 154–5; use of mimesis, 167; sexual dimorphism and body size, 184–5, 187, 191, 199; attraction to symmetry, 190; childcare among, 196, 198–201, 204, 276; vertebral canal, 227; features shared with Homo sapiens fossils, 247–8; see also Nariokotome boy
Homo floresiensis, 163, 263, 268
Homo habilis， 126， 139， 161， 164， 207;脑大小，125,128; 社会组织，135,257; 解剖学和运动，142,144; 发声，158,233-4; 一夫多妻制，187;舌下管，226;声带，234
Homo habilis, 126, 139, 161, 164, 207; brain size, 125, 128; social organization, 135, 257; anatomy and locomotion, 142, 144; vocalizations, 158, 233–4; polygyny among, 187; hypoglossal canal, 226; vocal tract, 234
海德堡人，4,6,163,221,237; 模仿的使用，167;整体信息，172;在 Bilzingsleben，173-5,229; 一夫多妻制，187,190,239; 手斧，190,278; 对称的吸引力，190;在博克斯格罗夫，192-6,200,204; 母婴交流， 192， 196;行为保守主义，194;大脑大小，196,221,223; 托儿服务，其中 199、201、204;服装，200 人;丧葬行为，206,218-20; 发声，221,233-4,253,257; 尼安德特人的祖先，222,227; 声音感知，227;发展率，328
Homo heidelbergensis, 4, 6, 163, 221, 237; use of mimesis, 167; holistic messages, 172; at Bilzingsleben, 173–5, 229; polygyny among, 187, 190, 239; hand-axes, 190, 278; attraction to symmetry, 190; at Boxgrove, 192–6, 200, 204; mother-infant communication, 192, 196; behavioural conservatism, 194; brain size, 196, 221, 223; childcare among, 199, 201, 204; clothing, 200; funerary behaviour, 206, 218–20; vocalizations, 221, 233–4, 253, 257; ancestor of Neanderthals, 222, 227; sound perception, 227; development rate, 328
Homo neanderthalensis： 见 Neanderthals
Homo neanderthalensis: see Neanderthals
鲁道夫人，125,139,248; 脑大小，125,128; 群体规模，135;发声， 158
Homo rudolfensis, 125, 139, 248; brain size, 125, 128; group size, 135; vocalizations, 158
智人， 6， 122， 323-4;认知流动心态，4;语法习得的倾向，19;大脑大小，123、158、163、223、247;双足行走，143,163; 手势，155;身材，163;一夫一妻制，181;性二态性和体型，182,184; 托儿服务，其中，202,276; 进化，222-3,246-9; 社会分化，225,257-8; 舌下管，226;椎管，226-7;洞穴艺术，230;特征，247;达到人口门槛，262;埋葬，262,268; 技术，262-3;拥有语言、音乐和认知流动性，266;分散地图， 268
Homo sapiens, 6, 122, 323–4; cognitively fluid mentality, 4; predisposition to grammar acquisition, 19; brain size, 123, 158, 163, 223, 247; bipedalism, 143, 163; gestures, 155; stature, 163; monogamy among, 181; sexual dimorphism and body size, 182, 184; childcare among, 202, 276; evolution of, 222–3, 246–9; social differentiation, 225, 257–8; hypoglossal canal, 226; vertebral canal, 226–7; cave art, 230; characteristic features, 247; reach demographic threshold, 262; burials, 262, 268; technology, 262–3; possessed of language, music and cognitive fluidity, 266; dispersal map, 268
智人 idaltu， 247
Homo sapiens idaltu, 247
霍登，佩雷格林，97
Horden, Peregrin, 97
犀鸟， 红嘴， 285
hornbill, red-billed, 285
马，150， 163-4， 193， 194-5， 237-8， 318;参见 Polies
horses, 150, 163–4, 193, 194–5, 237–8, 318; see also ponies
埃雷拉·霍弗斯，240
Hovers, Erella, 240
Howisons Poort 工业，331
Howisons Poort industry, 331
汉弗莱，尼古拉斯，230,252
匈牙利语， 288
Hungarian, 288
饥饿， 202
hunger, 202
亨特，凯文，144-5
狩猎采集者，166、168、174、194、219、233、243、246、263、318;另请参阅哈扎;！龚
hunter-gatherers, 166, 168, 174, 194, 219, 233, 243, 246, 263, 318; see also Hadza; !Kung
詹姆斯·赫尔福德，290
Hurford, James, 290
hyenas, 133, 134, 154, 168, 193, 320
高读专家，44
hyperlexic savants, 44
舌下管，226-7
冰河时代，88、200、213、221、222、224-5、235、236-7、242、265、268、269、276
ice ages, 88, 200, 213, 221, 222, 224–5, 235, 236–7, 242, 265, 268, 269, 276
模仿，167-8,317-8;声乐， 131， 175， 234， 238， 254， 276
imitation, 167–8, 317–8; vocal, 131, 175, 234, 238, 254, 276
印度音乐，18、90、91、97、303;舞蹈，168;另见 mantras
Indian music, 18, 90, 91, 97, 303; dance, 168; see also mantras
婴儿导向的言语 （IDS），24、69-75、79、84、201-2;投球，69,70,74; 元音超发音，69、74、197;韵律，69-73、75、76、79、197-8、255、298; 语调， 70， 74;四个阶段，71-2;普遍性，72-4,196; 影响，74;和笑声，81,83; 类似于 gelada 发声，110;进化，204;计算机模型中缺席，256 人;概括和，275-6,277; 和音乐的演变，321-2
infant-directed speech (IDS), 24, 69–75, 79, 84, 201–2; pitch in, 69, 70, 74; hyperarticulation of vowels, 69, 74, 197; prosody, 69–73, 75, 76, 79, 197–8, 255, 298; intonation, 70, 74; four stages of, 71–2; universality of, 72–4, 196; affect in, 74; and laughter, 81, 83; analogous to gelada vocalizations, 110; evolution of, 204; absent from computer models, 256; recapitulation and, 275–6, 277; and evolution of music, 321–2
婴儿：统计能力，75-6,258; 发展与完美音高，76-9,196; 歌唱，79-81,83,196-8,276; 大脑大小，83;声音和面部模仿，131;窒息，147;发展，185;需求喂养，201;“停车”，201;“放下”，201-3,234,241; 厌恶反应，203;尼安德特人，240-1;大脑发育，260;通信，272;身体运动，300;另见婴儿定向语音 （IDS）
infants: statistical capabilities, 75–6, 258; development and perfect pitch, 76–9, 196; singing to, 79–81, 83, 196–8, 276; brain size, 83; vocal and facial imitation, 131; choking in, 147; development, 185; demand-feeding of, 201; ‘parking’, 201; ‘putting down’, 201–3, 234, 241; disgust reaction in, 203; Neanderthal, 240–1; brain development, 260; communication with, 272; body movement, 300; see also infant-directed speech (IDS)
“群体内偏置效应”，215,218
‘in-group biasing effect’, 215, 218
智力，87;进化，145-6;和大脑大小，223;结构域特异性， 4， 232–3， 243， 263–4， 272， 318;另见 MIND
intelligence, 87; evolution of, 145–6; and brain size, 223; domain-specific, 4, 232–3, 243, 263–4, 272, 318; see also mind
伊拉克，235
Iraq, 235
伊斯图里茨，269,270
查尔斯·艾夫斯，291
Ives, Charles, 291
威廉·詹姆斯，86 岁
James, William, 86
Japanese, 14, 36, 38, 72–4, 78
日本工厂工人 215 人
Japanese factory workers, 215
爪哇，161,316
嫉妒，94
jealousy, 94
泽西岛，238
Jersey, 238
犹太传统，97
Jewish traditions, 97
菲利普·约翰逊-莱尔德，87 岁
Johnson-Laird, Philip, 87
约旦河谷，161,165
乔伊，90 岁
joy, 90
Juslin, Patrik, 85, 93, 94, 101
卡布韦，326
Kabwe, 326
Kalahari Desert, 168; Bushmen, 208
卡坦达，261
Katanda, 261
理查德·凯，226
Kay, Richard, 226
KB (amusia patient), 53–5, 61, 64
凯茜·基，186-7
Kirby, Simon, 148, 253, 255–8, 260
Klasies River Mouth, 248, 251–2, 261
克里斯·奈特，136
Knight, Chris, 136
KNM-ER 1470 (early Homo specimen), 125, 130
指关节行走， 123， 139， 141， 144， 145
knuckle-walking, 123, 139, 141, 144, 145
沃尔夫冈·科勒，119
Kohler, Wolfgang, 119
马雷克·科恩，189
Kohn, Marek, 189
库尔·赫克，21 岁
Kool Herc, 21
韩国人，78 岁
Korean, 78
江筝音乐 14
Koto music, 14
卡罗尔·克鲁姆汉斯尔，95 岁
Krumhansl, Carol, 95
Kubie（雄性大猩猩），118-9、120、133、134
Kubie (male gorilla), 118–9, 120, 133, 134
捻角羚， 168
kudu, 168
!Kung, 168–9, 174, 205, 316, 318
库泰禁猎区， 113
Kutai game reserve, 113
La Chapelle-aux-Saints, 226, 235, 326
拉科特，238
La Cotte, 238
拉费拉西，325
La Ferrassie, 325
鲁道夫·拉班，156-7
莱托利，142,183
图尔卡纳湖， 133 [Lake Turkana]， 133
Lake Turkana, 133
兰伯特，康斯坦特，271
Lambert, Constant, 271
语言：起源和演变，1-2、26、139、145-6、155、212、245、250-1、255-60、291-2;定义，12;公式化方面，12,18-19; 同步和轮流进入，12、17、70、83;普遍性，12-13,25; 翻译，14;表达方式，15;收购，70-2、74、76-9、83-4、131、196、197、255-6、275、276;等级结构，17;递归，16-17,19; 节奏，17;组成性质，19,25; 规则，19-20,25; 变化，21;交际功能，21-3,25; 操纵性格，23,25; 富有表现力的措辞，24;涉及的大脑区域，31-3,35-9;独立于音乐，40、46、58、62、65、69;和灵长类动物的叫声，149;从 'Hmmmmm' 进化而来， 203， 246， 255–61， 265;作为变革的力量，230;智人的生物学属性，246,249; 遗传基础，250,329; 计算机模拟，255-7,290; 和认知流动性，264-5;和思想，280,331; 和社会组织 312
language: origin and evolution of, 1–2, 26, 139, 145–6, 155, 212, 245, 250–1, 255–60, 291–2; definition of, 12; formulaic aspects of, 12, 18–19; synchronization and turn-taking in, 12, 17, 70, 83; universality of, 12–13, 25; translations of, 14; modes of expression, 15; acquisition, 70–2, 74, 76–9, 83–4, 131, 196, 197, 255–6, 275, 276; hierarchical structure, 17; recursion in, 16–17, 19; rhythm in, 17; compositional nature of, 19, 25; rules of, 19–20, 25; change in, 21; communicative function, 21–3, 25; manipulative character, 23, 25; expressive phrasing, 24; brain areas implicated in, 31–3, 35–9; independence from music, 40, 46, 58, 62, 65, 69; and primate calls, 149; evolution from ‘Hmmmmm’, 203, 246, 255–61, 265; as force for change, 230; biological attribute of Homo sapiens, 246, 249; genetic basis of, 250, 329; computer simulations of, 255–7, 290; and cognitive fluidity, 264–5; and thought, 280, 331; and social organization, 312
语言： 'click'， 14;符号，15,119,313; 外国，36,37,39; 调性，73、77、78、274、285;压力，73;音高重音，73;无调性，78;南美，171;整体的，257;西非，288 人;印欧语系，299;另请参阅阿法尔语;中文;英语;芬兰语;法语;德语;希腊语;匈牙利语;意大利语;日语;马来语;西班牙语;策尔塔尔;威尔士语;班图语
languages: ‘click’, 14; sign, 15, 119, 313; foreign, 36, 37, 39; tonal, 73, 77, 78, 274, 285; stress, 73; pitch-accent, 73; atonal, 78; South American, 171; holistic, 257; west African, 288; Indo-European, 299; see also Afar language; Chinese; English; Finnish; French; German; Greek; Hungarian; Italian; Japanese; Malay; Spanish; Tzeltal; Welsh; Xhosa
叶猴， 201
langurs, 201
格雷厄姆·劳森，269
Lawson, Graham, 269
玛丽·利基，142
Leakey, Mary, 142
Leborgne （'Tan'）， 32 岁
Leborgne (‘Tan’), 32
约瑟夫·勒杜，86 岁
LeDoux, Joseph, 86
左撇子，65
left-handedness, 65
莱林根，314
Lehringen, 314
莱诺宁，莉亚，111
Leinonen, Lea, 111
莱金，320
lekking, 320
弗雷德·勒达尔，20 岁
Lerdahl, Fred, 20
莱斯卡纳莱特斯，242
Les Canalettes, 242
Levallois technique, 222, 225, 231, 324
梁邦，163
Liang Bang, 163
但以理·利伯曼，153-4
菲利普·利伯曼，226
Lieberman, Phillip, 226
石灰石， 164
limestone, 164
狮子/人雕像，271,272
弗朗茨·李斯特，176
Liszt, Franz, 176
石版画，331
lithophones, 331
蜥蜴， 83
lizards, 83
LL（音乐专家），293-4
布鲁诺 （L
ng， Bruno） 91 岁
Lng, Bruno, 91
逻辑形式，264
logical form, 264
隆古波洞，161
Longuppo Cave, 161
响度：参见音量
loudness: see volume
露西：见 Australopithecus afarensis
Lucy: see Australopithecus afarensis
Luria A.，34 岁
Luria, A., 34
歌词： See Songs
lyrics: see songs
弗朗索瓦-伯纳德·马什，284-5
Mâche, François-Bernard, 284–5
亨利·麦克亨利，183-5 年
安妮·麦克拉农，226-7
大卫·麦克尼尔，155
McNeill, David, 155
McNeill, William, 208–9, 214–16
麦当娜，176
Madonna, 176
梅斯，布克哈德，65-6
magnetic reversal dating, 163, 315–6
magnetoencephalography (MEG), 31, 65–6
马哈莱，114,182
mammoths, 172, 238; dwarf, 163
苏珊·曼德尔，96-7
二氧化锰，230
manganese dioxide, 230
咒语，12,277,332
伊格纳西奥·马丁内斯，227
Martínez, Ignacio, 227
莫兰，238
Mauran, 238
meat-eating, 126–7, 129, 132, 145–6, 185–6
地中海， 166
Mediterranean Sea, 166
保罗·梅拉斯，242
Mellars, Paul, 242
旋律轮廓，51、52、55-6、322;和语音韵律，56-8;加工，65;另请参阅 Pitch
melodic contour, 51, 52, 55–6, 322; and speech prosody, 56–8; processing, 65; see also pitch
旋律：识别，35、36、39、40、50、53、59-61;调性与无调性，52;歌词，53-5,60,61; 音高变化，60;处理，67-8;和情感，95,202; 猴子中，110、121、135、136;被原始人使用，149;和性选择，179;尼安德特人的使用，228
melody: recognition of, 35, 36, 39, 40, 50, 53, 59–61; tonal and atonal, 52; and song lyrics, 53–5, 60, 61; pitch variations in, 60; processing of, 67–8; and emotions, 95, 202; among monkeys, 110, 121, 135, 136; use by hominids, 149; and sexual selection, 179; use by Neanderthals, 228
记忆：短期，30,57-8,60; 在音乐家中，34 人;在失语症患者中，39 人;在 AMUSIA 患者中，47、48、51、53、56;认知限制，52;歌曲，54-5;长期音乐剧，56,57; 联想，63,64; 情绪化，95;早期人类，173;尼安德特人，233
memory: short-term, 30, 57–8, 60; in musicians, 34; in aphasia patients, 39; in amusia patients, 47, 48, 51, 53, 56; cognitive constraints on, 52; for songs, 54–5; long-term musical, 56, 57; associative, 63, 64; emotional, 95; Early Human, 173; Neanderthal, 233
马里奥·门德斯，35 岁
Mendez, Mario, 35
比约恩·默克，206-7
玛丽-诺埃尔·梅茨-卢茨，36-7
墨西哥，171
Mexico, 171
梅兹迈斯卡娅，329
Mezmaiskaya, 329
小鼠， 249
mice, 249
米勒，杰弗里，178-80、182、187、191、195、197、207
Miller, Geoffrey, 178–80, 182, 187, 191, 195, 197, 207
Miller, Leon, 40–4, 75, 77, 79
mimesis, 167–9, 175, 195, 238–9, 317–18
mimicry, 22, 167–9, 171–2, 317
心灵，4,282;另见认知流动性;概念形成;意识;情报;语言和思维记忆;心智理论;思想
mind, 4, 282; see also cognitive fluidity; concept formation; consciousness; intelligence; language, and thought memory; theory of mind; thought
约翰·米塔尼，113
Mitani, John, 113
史蒂文·米森：《冰之后》，4,265; 心灵的史前史，4,230,232,263-4,271; 性感手斧假说，188-91
Mithen, Steven: After the Ice, 4, 265; The Prehistory of the Mind, 4, 230, 232, 263–4, 271; sexy hand-axe hypothesis, 188–91
米森，苏，204
Mithen, Sue, 204
Moggi-Cecchi， 雅各布， 129
Moggi-Cecchi, Jacopo, 129
Monica (amusia patient), 59–61, 274, 296
猴子：神经发育，84;音乐敏感性，79;发声，107-13、119、120、128、147、254;大脑大小，115;缺乏心智理论，117,128,136; 手势的使用，120-1,138; F5 脑区，130-1;解剖学和运动，142,144; 婴儿护理，198;FOXP2 基因，249;另请参阅坎贝尔猴;Cebus 猴子;戴安娜猴;Gelada 狒狒;吉本斯;猕猴;猩猩;恒河猴;长尾猴
monkeys: neural development, 84; musical sensitivity, 79; vocalizations, 107–13, 119, 120, 128, 147, 254; brain size, 115; lack of theory of mind, 117, 128, 136; use of gestures, 120–1, 138; F5 brain area, 130–1; anatomy and locomotion, 142, 144; care of infants, 198; FOXP2 gene, 249; see also Campbell monkeys; cebus monkeys; Diana monkeys; gelada baboons; gibbons; macaques; orang utans; rhesus monkeys; vervet monkeys
情绪，90,95; 操纵，97,98-100
moods, 90, 95; manipulation of, 97, 98–100
形态学， 19
morphology, 19
莫斯科音乐学院，33 岁
Moscow Conservatoire, 33
斯蒂芬妮·莫伊兰，99 岁
Moylan, Stephanie, 99
莫扎特，沃夫冈·阿玛迪斯，14、90、100、291、301
Mozart, Wofgang Amadeus, 14, 90, 100, 291, 301
“莫扎特效应”，100
‘Mozart effect’, 100
穆勒长臂猿，113
Mueller’s gibbons, 113
多语言， 16
multilingualism, 16
孟布瓦洞穴，261
Mumbwa Cave, 261
音乐：普遍性，1,12-13,25,178; 参与，1,22,270-1; 起源和演变，2， 26， 136， 139， 155， 178， 281-3， 291-2， 321-2;如“听觉芝士蛋糕”，5、11、26、34;定义，11-12;背景，13,18; 和宗教，13,266,271-3; 生产，13;类型，13-14;表达方式，15;收购，16;等级结构，16,17,289; 递归，16;节奏，17;缺乏指涉意义，18,20,22; 和情绪，18、22、24-5、64、85、89-101、178、273、275、286;规则，20-1,25,44,51-2,66; 风格，20,21; 调性，20、25、51-2、66、90;缺乏交际功能，22;操纵特征，22、23、25、100;富有表现力的措辞，24;整体性质，25;涉及的大脑区域，34、47、49、50、51、53、54、56、64-8;独立于语言，40,46,58,62,65,69; 音高内容，62-4;时间内容，62-4;发展优先于语言，69;学习和完美的音高，76-9;和情绪，90,99-100; 和动议，152-3;作为可听的手势，157;与性的关联，176;和性选择，179、184、188、191;作为群体活动，180、204、205-6、208、213-18;作为“多媒体”包，197;同步，207,214,216; 在尼安德特人中，236 人;从 'Hmmmmm' 进化而来，266， 270， 272-5;民主化和精英主义，270-1;作为娱乐，273;功能，280;多样性，282-3;“可学习性”，283-4
music: universality of, 1, 12–13, 25, 178; participation in, 1, 22, 270–1; origin and evolution of, 2, 26, 136, 139, 155, 178, 281–3, 291–2, 321–2; as ‘auditory cheesecake’, 5, 11, 26, 34; definition of, 11–12; contexts of, 13, 18; and religion, 13, 266, 271–3; production, 13; types of, 13–14; modes of expression, 15; acquisition, 16; hierarchical structure, 16, 17, 289; recursion in, 16; rhythm in, 17; lack of referential meaning, 18, 20, 22; and emotions, 18, 22, 24–5, 64, 85, 89–101, 178, 273, 275, 286; rules of, 20–1, 25, 44, 51–2, 66; styles, 20, 21; tonal, 20, 25, 51–2, 66, 90; lack of communicative function, 22; manipulative character of, 22, 23, 25, 100; expressive phrasing, 24; holistic nature of, 25; brain areas implicated in, 34, 47, 49, 50, 51, 53, 54, 56, 64–8; independence from language, 40, 46, 58, 62, 65, 69; pitch content, 62–4; temporal content, 62–4; developmental priority over language, 69; learning and perfect pitch, 76–9; and moods, 90, 99–100; and motion, 152–3; as audible gesture, 157; association with sex, 176; and sexual selection, 179, 184, 188, 191; as group activity, 180, 204, 205–6, 208, 213–18; as ‘multimedia’ package, 197; synchrony in, 207, 214, 216; among Neanderthals, 236; evolution from ‘Hmmmmm’, 266, 270, 272–5; democratization and elitism, 270–1; as entertainment, 273; functions of, 280; diversity of, 282–3; ‘learnability’, 283–4
music therapy, 95–8, 150–1, 236, 303
乐器，266、269-70、272、274、275;承认，36,38,39,51,53; 尼安德特人，243-4
musical instruments, 266, 269–70, 272, 274, 275; recognition of, 36, 38, 39, 51, 53; Neanderthal, 243–4
音乐专家，40-5,58,293-5;完美音高，43、44、75、77、78-9;另请参阅CA;艾迪;将;圣诞颂歌;威金斯，托马斯
musical savants, 40–5, 58, 293–5; perfect pitch among, 43, 44, 75, 77, 78–9; see also CA; Eddie; LL; Noel; Wiggins, Thomas
《音乐语言》，26,291
穆斯林传统， 97
Muslim traditions, 97
纳米比亚， 250
Namibia, 250
Nariokotome 男孩，139、140、144、158;大脑大小，158、162、223;体型，184
Nariokotome boy, 139, 140, 144, 158; brain size, 158, 162, 223; body size, 184
航海， 17
navigation, 17
纳粹集会，215
Nazi rallies, 215
尼安德谷，324,329
尼安德特人 （Homo neanderthalensis）， 6， 278;社会组织，88,228,232,233,240-1,257,325; 体重，163、223、234、239;手斧，164,225; 衣物需求，200;大脑大小，221、223、228、233、239、325;语言能力，221,226,227-8,232,234; 进化，222,248; 和人类，222-3、248、260、268、323-4;灭绝，222,223,230,263,268; 工具制造技术，222、230、232、233、239、262-3、324-5;阿穆德一世标本，224;身体特征，224;生活方式，224-5;埋葬，225-6,229,240-1,325; 声带，226,228; 发声，226、240、253、257;舌下管，226;椎管，227;声音感知，227,228; 文化稳定，228,230-1,234,235,261; 符号的使用，228-30,234,250; 人体彩绘，229-30,252; 边际生存能力，231、235、268;吊坠，231-2;特定领域的智能，232-3,243,263-4,266,268; 疾病，235;合作，236,238-9;音乐的使用，236,245; 乐器，243-4,269; 狩猎，237-8,240; 预期寿命和死亡率，239、240、327;婴儿护理，240-1,276; 表演，242;缺乏语言介导的行为，250;描绘，324;发展率，328
Neanderthals (Homo neanderthalensis), 6, 278; social organization, 88, 228, 232, 233, 240–1, 257, 325; body mass, 163, 223, 234, 239; hand-axes, 164, 225; need for clothing, 200; brain size, 221, 223, 228, 233, 239, 325; capacity for language, 221, 226, 227–8, 232, 234; evolution of, 222, 248; and humans, 222–3, 248, 260, 268, 323–4; extinction of, 222, 223, 230, 263, 268; tool-making technology, 222, 230, 232, 233, 239, 262–3, 324–5; Amud I specimen, 224; physical features, 224; lifestyles, 224–5; burials, 225–6, 229, 240–1, 325; vocal tract, 226, 228; vocalizations, 226, 240, 253, 257; hypoglossal canal, 226; vertebral canal, 227; sound perception, 227, 228; cultural stability, 228, 230–1, 234, 235, 261; use of symbols, 228–30, 234, 250; body painting, 229–30, 252; marginal viability, 231, 235, 268; pendants, 231–2; domain-specific intelligence, 232–3, 243, 263–4, 266, 268; disease among, 235; cooperation among, 236, 238–9; use of music, 236, 245; musical instruments, 243–4, 269; hunting, 237–8, 240; life expectancy and mortality, 239, 240, 327; infant care, 240–1, 276; performances, 242; absence of language-mediated behaviour, 250; depictions of, 324; development rate, 328
Nettl, Bruno, 11, 13, 270, 282–3
神经达尔文主义，83-4
神经不灵活，116
neural inflexibility, 116
神经网络，28,31; 语言，32、36、39、40、57-8、130、249、260;音乐，34， 40， 57-8， 64-5， 67-8， 179;原始人，130;尼安德特人，226,233,234; 发展，274-5
neural networks, 28, 31; for language, 32, 36, 39, 40, 57–8, 130, 249, 260; for music, 34, 40, 57–8, 64–5, 67–8, 179; hominid, 130; Neanderthal, 226, 233, 234; development of, 274–5
Niedenthal， Paula， 90 岁
Niedenthal, Paula, 90
尼日利亚，287
Nigeria, 287
Nihewan 盆地，161
Nihewan Basin, 161
尼罗河谷，165
Nile Valley, 165
诺埃尔（音乐专家），42,294
Noel (musical savant), 42, 294
北非，165
North Africa, 165
note-deafness：见 tone-deafness
note-deafness: see tone-deafness
NS（失语症患者），34-6、39、40、46、64、274
NS (aphasia patient), 34–6, 39, 40, 46, 64, 274
数字操作， 17
number manipulation, 17
Nyae Nyae，168 岁
Nyae Nyae, 168
基思·奥特利，87 岁
Oatley, Keith, 87
强迫症，97
obsessive-compulsive disorder, 97
詹姆斯·奥康奈尔，186
O’Connell, James, 186
尼尔·奥康纳，294
O’Connor, Neil, 294
海拉·奥尔曼，91
Oelman, Hella, 91
奥卡万戈三角洲，307
Okavango Delta, 307
奥尔多万工业， 125， 127， 131， 137， 164， 165， 311， 315
Oldowan industry, 125, 127, 131, 137, 164, 165, 311, 315
Olduvai Gorge, 125, 164, 191, 315
奥洛格赛利，164
Olorgesailie, 164
Omo I 和 II 标本，247-9
拟声词，17， 169–71， 234， 238， 254， 276
onomatopoeia, 17, 169–71, 234, 238, 254, 276
阿片类药物，135
opiates, 135
猩猩， 183
orang utans, 183
意向性的命令，117
orders of intentionality, 117
鸵鸟， 168
ostriches, 168
催产素，216-17
佩吉尔，马克，199
Pagel, Mark, 199
痛苦，202,208
帕克菲尔德，163
Pakefield, 163
巴基斯坦， 315
Pakistan, 315
梅赫希尔德·帕普塞克，73 岁
Papousek, Mehthild, 73
寄生虫，199-200
西蒙·帕菲特，194
Parfitt, Simon, 194
帕金森病，151
Parkinson’s disease, 151
劳伦斯·帕森斯，66-8
鹧鸪， 红腿， 285
partridge, red-legged, 285
帕特尔，阿尼鲁德，65 岁
Patel, Aniruddh, 65
佩恩，凯瑟琳，285
Payne, Katharine, 285
孔雀， 177
peacocks, 177
Pech de l'Aze， 230
Pech de l’Aze, 230
佩雷茨，伊莎贝尔，46,51-3,56-61,65; 音乐处理的模块化模型，62-4,274
Peretz, Isabelle, 46, 51–3, 56–61, 65; modular model of music processing, 62–4, 274
秘鲁，169,170
PET 定向语音 （PDS），74-5
pet-directed speech (PDS), 74–5
音系学， 19
phonology, 19
physiological states, 89, 95, 101, 167
Piccirilli, Massimo, 49, 50, 64
皮尔斯，查尔斯，289
Pierce, Charles, 289
颜料， 261， 262;见 Manganese dioxide;赭石;红
pigments, 261, 262; see manganese dioxide; ochre; red
平克，史蒂文，4-5、11、25、26、69、96、281、286、304
Pinker, Steven, 4–5, 11, 25, 26, 69, 96, 281, 286, 304
音高：辨别力，38， 51， 52， 57， 60–1， 78， 274， 297;完成（绝对），43、44、75、76-9、234、260、276、295、299、300;声调编码，53,64; 无法唱歌，56;句子的变化，56-7;言语和旋律的变化，60;处理，62-5,68; 在 IDS，69、70、74、197;在声调和重音语言中，73 人;相对，76-8;和情感，89,90-4,101,136; 猴子使用的变体，111;被原始人使用，149;尼安德特人的使用，228;和分割，255;鸟鸣，285;另请参阅 Melodic Contour
pitch: discrimination of, 38, 51, 52, 57, 60–1, 78, 274, 297; perfect (absolute), 43, 44, 75, 76–9, 234, 260, 276, 295, 299, 300; tonal encoding of, 53, 64; inability to sing, 56; variations in sentences, 56–7; variations in speech and melody, 60; processing of, 62–5, 68; in IDS, 69, 70, 74, 197; in tonal and stress languages, 73; relative, 76–8; and emotions, 89, 90–4, 101, 136; variations used by monkeys, 111; use by hominids, 149; use by Neanderthals, 228; and segmentation, 255; in birdsong, 285; see also melodic contour
Plainsong， 91
plainsong, 91
柏拉图，85 岁
Plato, 85
更新世，165,218,326; 中，173,175
Pleistocene, 165, 218, 326; Middle, 173, 175
polygyny, 181–2, 184, 190–1, 320
小马， 153
ponies, 153
豪猪， 317
porcupines, 317
positron emission tomography (PET), 30, 31, 39, 66–7
‘poverty of the stimulus’, 19, 84, 256
捕食者，201;防御，126， 132-3， 137， 167， 200， 209， 213;缺席，163;同步发声和，206-7
predators, 201; defences against, 126, 132–3, 137, 167, 200, 209, 213; absence of, 163; synchronized vocalizations and, 206–7
“前语言”，198
‘pre-language’, 198
骄傲，94
pride, 94
灵长类动物：发声，25、82、107-18、120-1、129、158、285、312;进化，106-7;声乐学习，116,307; 群体规模和栖息地，126;群体规模和大脑大小，127;呼唤和人类语言，149;儿童保育，其中 201 人;椎管，226-7;另见猿类;猴子
primates: vocalizations, 25, 82, 107–18, 120–1, 129, 158, 285, 312; evolution, 106–7; vocal learning among, 116, 307; group size and habitat, 126; group size and brain size, 127; calls and human language, 149; childcare among, 201; vertebral canals, 226–7; see also apes; monkeys
prisoner’s dilemma, 210–12, 213, 215, 217
原始语言，2-4,147-9,291;作曲，3,147,253,259,311-12; 整体，3-4,5,26,109,147,149,172,281;合成，280;分析， 280
proto-language, 2–4, 147–9, 291; compositional, 3, 147, 253, 259, 311–12; holistic, 3–4, 5, 26, 109, 147, 149, 172, 281; synthetic, 280; analytical, 280
《原始音乐》，291
‘proto-music’, 291
罗伯特·普罗文，81-2
拉赫玛尼诺夫，谢尔盖·瓦西列维奇，90,301
Rachmaninov, Sergei Vasilevich, 90, 301
说唱，21 岁
rap, 21
Ravel, Maurice, 46–7, 48, 49, 52, 54, 55
概括，275
recapitulation, 275
recursion, 16–17, 19, 150, 256–7, 264
驯鹿，237,238
犀牛， 160， 164， 173， 174， 193， 238
rhinoceroses, 160, 164, 173, 174, 193, 238
节奏，17,195; 失语症患者和，35-9;AMUSIA 患者和，50、51、52、58、60-1;处理，62,67-8; 在 IDS， 74， 110;和情感，91-5,101,202;猴子中，110、121、135、136;被原始人使用，149;和运动，150-2,158,176; 和性选择，179;尼安德特人的使用，228,236; 和分割，255;阿克萨克，285
rhythm, 17, 195; aphasia patients and, 35–9; amusia patients and, 50, 51, 52, 58, 60–1; processing of, 62, 67–8; in IDS, 74, 110; and emotions, 91–5, 101, 202; among monkeys, 110, 121, 135, 136; use by hominids, 149; and movement, 150–2, 158, 176; and sexual selection, 179; use by Neanderthals, 228, 236; and segmentation, 255; aksak, 285
有节奏的听觉刺激 （RAS），151
rhythmic auditory stimulation (RAS), 151
布鲁斯·里奇曼，110-11
裂谷，161,165
Riwat 高原，315
Riwat Plateau, 315
贾科莫·里佐拉蒂，130-1
啮齿类动物，172
rodents, 172
德里克·罗，191
Roe, Derek, 191
Rousseau, Jean-Jacques, 2, 5, 26
卢旺达，119
Rwanda, 119
悲伤，86-8,93-5,99-100; 在原始人中，127 人;在尼安德特人中，221,234,236
sadness, 86–8, 93–5, 99–100; among hominids, 127; among Neanderthals, 221, 234, 236
San Francisco Zoo, 118–19, 134
爱德华·萨皮尔，170
Sapir, Edward, 170
萨维奇-伦博，苏，120
Savage-Rumbaugh, Sue, 120
Savants：见日历计算器;高阅读专家;音乐专家
savants: see calendar calculators; hyperlexic savants; musical savants
量表，51-2,294; 少校，90;未成年人，90 岁;十二音符， 91
scales, 51–2, 294; major, 90; minor, 90; twelve-note, 91
阿诺德·勋伯格，291
Schoenberg, Arnold, 291
舍宁根，160,173,194,233,237; 长矛，160,166,175
Schöningen, 160, 173, 194, 233, 237; spears, 160, 166, 175
舒伯特，弗朗茨，1,279
第二次世界大战，96
Second World War, 96
次级 altriciality， 185
secondary altriciality, 185
self, sense of, 212–13, 214, 215, 217
《自私的基因》，210,216
感觉剥夺实验， 84
sensory deprivation experiments, 84
句子：情绪，36;问题，36、37、38、56、57;感叹号，36,37,38; 陈述，36、37、56、57;命令，38;暂停地点，56;配对实验，56-7
sentences: emotional moods of, 36; questions, 36, 37, 38, 56, 57; exclamations, 36, 37, 38; statements, 36, 37, 56, 57; commands, 38; pause locations in, 56; pairs experiment, 56–7
宁静，90 岁
serenity, 90
马克·塞特伦德，90 岁
Setterlund, Marc, 90
sexual dimorphism, 123, 134, 144, 182–5, 320
性选择，176-82、184、188、190、195、207、234、240、286;离家出走，177-8;指标和审美特征，177-8,187
sexual selection, 176–82, 184, 188, 190, 195, 207, 234, 240, 286; runaway, 177–8; indicator and aesthetic traits, 177–8, 187
Seyfarth, Robert, 108–9, 117, 149
谢巴林，维萨里翁·雅科夫列维奇，33-4、36、40、46、47
Shebalin, Vissarion Yakovlevich, 33–4, 36, 40, 46, 47
Shostakovich, Dmitri Dmitriyevich, 33, 34, 91
暹罗长臂猿，113
siamang gibbons, 113
西西里岛，165 [Sicily]
Sicily, 165
Sima de los Huesos， 218-20， 222， 223， 227
Sima de los Huesos, 218–20, 222, 223, 227
明喻， 318
simile, 318
西蒙娜，妮娜，246
Simone, Nina, 246
唱歌，53;婴儿，79-81、83、196-8;阿赞德，97 岁;在原始人中，136， 206-7;在早期人类中，175、195、204、206、220、234;和性选择，179、182、187、191;在尼安德特人中，236、240、243;在洞穴中，270
singing, 53; to infants, 79–81, 83, 196–8; Azande, 97; among hominids, 136, 206–7; among Early Humans, 175, 195, 204, 206, 220, 234; and sexual selection, 179, 182, 187, 191; among Neanderthals, 236, 240, 243; in caves, 270
锡塔琴， 14
sitar, 14
Sloboda, John, 22, 24, 85, 152
snakes, 108, 109, 121, 133, 283
肥皂剧， 18
soap operas, 18
巴黎语言学会，1-2
Société de Linguistique de Paris, 1–2
悲伤，90
sorrow, 90
声音联觉，17,170-1,175,203,234,238,254,276
sound synaesthesia, 17, 170–1, 175, 203, 234, 238, 254, 276
声音： 环境， 35， 36， 38， 39， 40， 50， 51， 53， 56， 60， 62， 64;非音乐剧，58 人;高频， 129–30， 227
sounds: environmental, 35, 36, 38, 39, 40, 50, 51, 53, 56, 60, 62, 64; non-musical, 58; high-frequency, 129–30, 227
南非，14， 129， 132， 209， 248， 250-2
South Africa, 14, 129, 132, 209, 248, 250–2
Spain, 162, 205, 218, 222, 323
长矛， 172， 173， 194， 233;舍宁根，160,166,175,194; 尼安德特人，225,233,237-8; 克拉克顿和莱林根，314
spears, 172, 173, 194, 233; Schöningen, 160, 166, 175, 194; Neanderthal, 225, 233, 237–8; Clacton and Lehringen, 314
斯皮尔斯，布兰妮，7,89
演讲：失语症患者和，35-40;语调，36、37、38、55、56、60、65;AMUSIA 患者和，50、53、55、56、58、60、64;韵律，24、36、38、39、50、53、55-8、60、69;大脑处理，62;“灵长类动物遗传”，111;学习能力，116;间歇性性质，156;运动控制，226-8;私人，259-60;另见婴儿定向语音 （IDS）
speech: aphasia patients and, 35–40; intonation, 36, 37, 38, 55, 56, 60, 65; amusia patients and, 50, 53, 55, 56, 58, 60, 64; prosody, 24, 36, 38, 39, 50, 53, 55–8, 60, 69; processing in brain, 62; ‘primate inheritance’, 111; capacity for learning, 116; intermittent nature of, 156; motor control of, 226–8; private, 259–60; see also infant-directed speech (IDS)
弗雷德·斯普尔，142
Spoor, Fred, 142
弗兰克斯·斯塔尔，277
Staal, Franx, 277
石笋，270
stalagmites, 270
杰恩·斯坦利，79 岁
Standley, Jayne, 79
斯特克方丹，129
Sterkfontein, 129
马克·斯通金，200
Stoneking, Mark, 200
石头： 锤子， 116， 117， 164;打砸，164,175,188-9,231; 另见 Chert;燧石;石灰石;石英岩;工具， 石材
stones: hammer, 116, 117, 164; knapping, 164, 175, 188–9, 231; see also chert; flint; limestone; quartzite; tools, stone
伊戈尔·斯特拉文斯基，91
Stravinsky, Igor, 91
托马斯·斯特鲁萨克，107-8
Studdert-Kennedy, Michael, 129, 131
Stw 151（化石标本），129-30,227
Stw 151 (fossil specimen), 129–30, 227
约翰·桑德伯格，152-3
超自然生物，271-3
惊喜，88
surprise, 88
天鹅，翼骨，269
swan, wing bones of, 269
斯旺斯库姆，326
Swanscombe, 326
汗腺，154
sweat glands, 154
符号，17-18,22,154-5,169,251-2,261-2,269; 灵长类动物使用，105、116、127;声音，170;早期人类的使用，174;尼安德特人的使用，228-32,234;作为认知锚，272-3
symbols, 17–18, 22, 154–5, 169, 251–2, 261–2, 269; use by primates, 105, 116, 127; sound, 170; use by Early Humans, 174; use by Neanderthals, 228–32, 234; as cognitive anchors, 272–3
突触，28,83-4
syntax, 19, 65–6, 70, 264, 290
Syrinx， 286
syrinx, 286
泰森林，115,116
高桥信义， 38 岁
Takahashi, Nobuyoshi, 38
塔勒曼，玛姬， 149,25
貘， 171
tapirs, 171
Taung child， 132
Taung child, 132
Tchaikovsky, Pyotr Ilyich, 44, 91, 92, 94, 293
牙齿：见牙列
teeth: see dentition
张力，95
tension, 95
迈克尔·陶特，151-2
心智理论，23,117-18,212-13,308; 原始人，128,136-7
theory of mind, 23, 117–18, 212–13, 308; hominid, 128, 136–7
蒂姆，哈特穆特，160,233
藏族吟诵音乐，13
Tibetan chant music, 13
TIT for TAT program, 211–12, 214
蟾蜍，83
toads, 83
菲利普·托比亚斯，130
Tobias, Phillip, 130
伊丽莎白·托尔伯特，5 岁
Tolbert, Elizabeth, 5
音调张力，90,101
音聋，58-9
工具，石头，125-6,127,138,144,270; 早期人类，164,173,221; 骨头，164,173-4,231,261,268; 用于展示，187;儿童保育，200 人;尼安德特人，222、227、230-2、233、239-40;“Stillbay”分，261 分;Riwat 文物，315;另见手斧;Levallois 技术;奥尔多万工业;矛
tools, stone, 125–6, 127, 138, 144, 270; Early Human, 164, 173, 221; bone, 164, 173–4, 231, 261, 268; for display, 187; for childcare, 200; Neanderthal, 222, 227, 230–2, 233, 239–40; ‘Stillbay’ points, 261; Riwat artefacts, 315; see also hand-axes; Levallois technique; Oldowan industry; spears
tortoises, 137; carapaces, 132
城镇，265
towns, 265
移调， 音乐， 41
transposition, musical, 41
tree-climbing, 123, 139, 141–3, 145, 183
Trevarthen, Colin, 81, 156, 196, 197
凯旋， 90
triumph, 90
突尼斯， 165
Tunisia, 165
伊万·特克，243-4
彼得·特克，244
Turk, Peter, 244
双河洞，330
Twin Rivers Cave, 330
双胞胎，相同，297
twins, identical, 297
策尔塔尔，171
Tzeltal, 171
‘Universal Grammar’, 19–20, 84, 256, 290, 330
话语，84,88,112,155,197; 公式化，12,25,276-7; 早期人类，167;尼安德特人，236 人;整体，253-5,258-9,276; 分割和组合性，253-4,258-9; 另见动物的叫声;发声
utterances, 84, 88, 112, 155, 197; formulaic, 12, 25, 276–7; Early Human, 167; Neanderthal, 236; holistic, 253–5, 258–9, 276; segmentation of and compositionality of, 253–4, 258–9; see also animal calls; vocalizations
拉尔夫·沃恩·威廉姆斯，92 岁
Vaughan Williams, Ralph, 92
Venda, 14, 209, 217, 241, 301–302
朱塞佩·威尔第，91 岁
Verdi, Giuseppe, 91
椎管，226-7
长尾猴，107-9、112-13、115、120-1、133、149、283、307-308
vervet monkeys, 107–9, 112–13, 115, 120–1, 133, 149, 283, 307–308
Vindjia， 329 [文佳]
Vindjia, 329
安东尼奥·维瓦尔第，89、90、94、176、278、301
Vivaldi, Antonio, 89, 90, 94, 176, 278, 301
声带 129， 145， 234， 272;猿，116,147; 喉部，116， 146-7， 150， 226， 227， 255， 286， 326;进化，139;呼吸控制的适应，158,228; 舌骨，226;尼安德特人，226,228
vocal tracts 129, 145, 234, 272; ape, 116, 147; larynx, 116, 146–7, 150, 226, 227, 255, 286, 326; evolution of, 139; adaptations for breathing control, 158, 228; hyoid bone, 226; Neanderthal, 226, 228
发声， 15， 157-8;灵长类动物，25， 82， 107-18， 120-1， 129， 149， 158， 182， 184;原始人，128-9、132-8、147-50、154、158、176、184、217-18;进化，146;早期人类，167;在儿童保育方面，202 人;同步，206;尼安德特人，226,240; 另见动物的叫声;话语
vocalizations, 15, 157–8; primate, 25, 82, 107–18, 120–1, 129, 149, 158, 182, 184; hominid, 128–9, 132–8, 147–50, 154, 158, 176, 184, 217–18; evolution of, 146; Early Human, 167; in childcare, 202; synchronization of, 206; Neanderthal, 226, 240; see also animal calls; utterances
声部， 94
voice, 94
音量（响度），91-3、95、101;控制，132-3;原始人使用， 149
volume (loudness), 91–3, 95, 101; control over, 132–3; use by hominids, 149
vultures, 134; wing bones of, 269
理查德·瓦格纳，91 岁
Wagner, Richard, 91
尼尔斯·沃林，281-282
万巴，182
Wamba, 182
瓦特，罗杰，24 岁
Watt, Roger, 24
威尔士语，19
Welsh, 19
西非，115
West Africa, 115
西方音乐，11,66,90-1,152,294; 精英主义，1,271,288; 风格，20,21; 音调知识，51-2;作为娱乐，273
Western music, 11, 66, 90–1, 152, 294; elitism of, 1, 271, 288; styles in, 20, 21; tonal knowledge in, 51–2; as entertainment, 273
西方社会，13,16,77,101,180,181,201,205
Western society, 13, 16, 77, 101, 180, 181, 201, 205
彼得·惠勒，145
Wheeler, Peter, 145
蒂姆·怀特，246-7
安迪·怀特恩，117
Whiten, Andy, 117
Wiggins, Thomas (‘Blind Tom’), 41–2, 43, 293
角马，169
wildebeest, 169
《防风林》，174,175
巫医，97
witch doctors, 97
沃达贝，319-320
狼， 193
wolves, 193
词聋，37
word-deafness, 37
单词，3-4、118、120、154、173、228、312;胡说八道，37,38,73; 发展，202
words, 3–4, 118, 120, 154, 173, 228, 312; nonsense, 37, 38, 73; development of, 202
雷，艾莉森，3-5、12、26、109、120、147-9、172-3、253-4、256-7;公式化语言和词典，277
Wray, Alison, 3–5, 12, 26, 109, 120, 147–9, 172–3, 253–4, 256–7; Formulaic Language and the Lexicon, 277
写作，15,25
怀恩，托马斯，233
Wynn, Thomas, 233
科萨语，73-4
巴辛姆·雅库布，37 岁
Yaqub, Basim, 37
也门，165
Yemen, 165
阿莫茨·扎哈维，177
Zahavi, Amotz, 177
斑马，126
zebras, 126
马塞尔·曾特纳，95
Zentner, Marcel, 95
版权
Copyright
一本 WEIDENFELD & NICOLSON 的电子书
A WEIDENFELD & NICOLSON EBOOK
2005年由Weidenfeld & Nicolson首次在英国出版。
First published in Great Britain in 2005 by Weidenfeld & Nicolson.
2011年由Weidenfeld & Nicolson首次以电子书形式出版。
First published in ebook in 2011 by Weidenfeld & Nicolson.
版权所有 © Steve Mithen 2005
Copyright © Steve Mithen 2005
根据 1988 年《版权、设计和专利法》，史蒂夫·米森 （Steve Mithen） 被确定为本作品作者的精神权利已得到维护。
The moral right of Steve Mithen to be identified as the author of this work has been asserted in accordance with the Copyright, Designs and Patents Act 1988.
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书号： 978 1 7802 2258 5
ISBN: 978 1 7802 2258 5
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